ANNUAL REPORT 2012 2013 - Parliament of NSW...Annual report 2012-13 ISSN 0545-3593 State Records...
Transcript of ANNUAL REPORT 2012 2013 - Parliament of NSW...Annual report 2012-13 ISSN 0545-3593 State Records...
STATE RECORDS AUTHORITY OF NEW SOUTH WALES
ANNUAL REPORT 2012—2013
Contents Overview 03
Our charter, direction and services 04
Director’s review 06
Message from the Chairperson 08
Performance summary 10
Services and Operations 15
Records storage services 16
Services for the public sector 21
State of public sector recordkeeping 40
The State archives collection 45
Services for the public 62
Corporate information and communications 80
Governance and accountability 82
Board and management 83
Strategic planning and reporting 87
Client and stakeholder relationships 89
Managing risks 92
Managing our people 96 Public Interest Disclosures (PID) Act 1994 102
Government Information (Public Access) Act (GIPA) 2009 103
Managing our physical assets and finances 107
Audited financial statements 117
Index back page
Accessing our services inside back cover
Annual report 2012-13
ISSN 0545-3593
State Records Authority of New South Wales PO Box 516 Kingswood NSW 2747
Published 2013
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State Records NSW 3
Overview
Overview 2012-13
Our charter, direction and services
Director’s review
Message from the Chairperson
Performance summary
4 Annual Report 2012-13
Overview
Who we are
The State Records Authority of
New South Wales (State
Records) is the NSW
Government’s archives and
records management
authority. Its purposes are to:
Preserve the State
archives and enable and
promote their use; and
Set standards and
provide guidance and
services to improve
records management
across the NSW public
sector including local
government, the
universities and the
public health system.
State Records is a non-Budget
dependent agency within the
Department of Finance and
Services and a statutory body
under Schedule 2 of the Public
Finance and Audit Act 1983.
Our core regulatory,
archival collection and service
delivery functions are
Budget-funded through a grant
from the Department of
Finance and Services. The
Government Records
Repository (GRR) operates
off-Budget to provide records
storage services to the sector.
State Records is committed to
the following principles, which
inform its service delivery
strategies;
Maintaining and
enhancing services to
Government and the
public;
Maintaining essential
services in an
environment of fiscal
constraint;
Maximising the value
obtained from available
Our charter – who we are, why we exist
Our History
>1821 Colonial Secretary and Registrar of the Records appointed >1879 Keeper of Archives position proposed but not established >1887 Archivist appointed to transcribe records for History of New South Wales from the Records >1910 Trustees of Public Library prepare report on neglect of government records >1911 Departments advised to transfer historical records to the Mitchell Library >1953 Archives Department established within Public Library of NSW >1955 Government Records Repository established >1960 Archives Act 1960 passed >1961 Archives Authority of NSW and Archives Office established >1976 Records Management Office established >1979 Archives Authority of NSW occupies purpose-built building in The Rocks >1998 State Records Act 1998 passed >1999 State Records Authority and its Board established >2006 State Records Authority becomes a related entity of the Department of Commerce >2012 State Records Authority moves out of The Rocks and closes Sydney Records Centre
resources and focussing
effort where the
greatest impact can be
made;
Developing partnerships
and sharing resources;
and
Protection of privacy. We administer the State Records Act 1998. Links to State Plan The State Plan, NSW 2021, sets out the Government’s key priorities for the next ten years.
State Records contributes to the NSW State Plan by:
storing non-current
records;
regulation, guidance and
promoting best practice;
documenting, storing and
preserving the archives;
and
reference services and
outreach.
State Records is a lead agency
for the achievement of Goal 31
in the State Plan. The State Plan
activities which State Records
contributes to are:
Rebuild State finances
(SP 2);
Make it easier for people
to be involved in their
communities (SP 24);
Fostering opportunity and
partnership with Aboriginal
people (SP 26);
Enhance cultural, creative,
sporting and recreation
opportunities (SP 27);
Restore trust in State and
Local government as a
service provider (SP 30);
Improve government
transparency by increasing
access to government
information (SP 31); and
Involve the community in
decision making on
government policy,
services and projects (SP
32).
Our charter, direction and services
State Records NSW 5
Overview
Our direction – where we are heading, how we work
Vision
To ensure the people and
Government of NSW have ready
access to records which
illuminate history, enrich the life
of the community and support
good and accountable
government.
Legislation and functions
We are a statutory body
constituted by the State
Records Act 1998. The Act was
amended in 2005 following a
review.
Aims
As the State Government’s
archives and records
management authority, State
Records exists to ensure that:
The business of the NSW
public sector is properly
documented and the
resulting records are
managed efficiently and
effectively for as long as
they are needed; and that
The State archives
collection is developed,
preserved and used.
Values
We are committed to:
The highest possible
professional standards;
Our customers and their
needs in our
decision-making and
business processes;
Integrity and accountability
in our dealings with
stakeholders, customers
and the records;
Innovation, creativity and
openness to ideas in our
work; and
Respect for our customers
and their diverse
backgrounds and interests,
and respect for each other.
Our services – what we do, clients and stakeholders
Setting and monitoring standards for the
creation, management and disposal of
State records;
Providing practical advice, guidance and
training to NSW public sector bodies in all
aspects of records management;
Providing centralised and cost effective
storage and retrieval services for the semi
active records of public sector agencies;
Identifying those State Records which
should be retained as State archives and
authorising the disposal of those which
should not;
Documenting State archives in their
functional and administrative context;
Storing State archives in appropriate
environments and ensuring that those
stored elsewhere are also stored to the
necessary standards;
Using micro and macro preservation
techniques to preserve the State’s
archives;
Making State records more than 30 years
old available for public access and use;
Interpreting, promoting and enhancing
public awareness of the State archives
collection; and
Making the best use of information
technology and communications to
improve our services and business.
NSW public sector
Central agencies;
Departments, agencies, and
statutory bodies;
Ministers’ offices;
State owned corporations;
Local councils;
The public health system;
The universities;
The Governor;
The Houses of Parliament; and
Courts and tribunals.
Public, external
The people of NSW;
Communities with particular needs,
including the Indigenous community,
culturally and linguistically diverse
communities, people in regional
NSW, and researchers around
Australia and the world;
Australian governments;
Australian and New Zealand public
records authorities; and
Governments and private companies
around the world
What we do Our clients and stakeholders
6 Annual Report 2012-13
Overview
Director’s review
State Records has had a year of significant
change and progress in 2012-13.
We started the year with the closure of the
Sydney Records Centre, which had been our
home since 1979. While the archival collection
has been based at Kingswood since 2004 the
loss of the city reading room and exhibition and
training spaces has led to State Records
adopting new strategies to carry out our wide
range of functions without a dedicated city
presence. For the first time all Public Access
staff are now located together. At the official
opening of the reading room at Kingswood in
December 1987 the then Principal Archivist,
John Cross, announced that State Records
would be an institution whose future lay in
western Sydney. Twenty five years later his
prediction has come true.
Another significant change, which was
foreshadowed in last year’s Annual Report, was
the retirement of the Director Alan Ventress.
Alan had been Director since 2008 and, before
that, Associate Director. During his 11 years
with State Records he championed the adoption
of new technologies to communicate our role as
widely as possible and built strong relationships
between State Records and like-minded
organisations across Australia. Since his
retirement in September 2012 Alan has
continued to be active in the archival, library
and heritage communities.
Likewise, December 2012 saw the end of
Professor Lucy Taksa’s two terms as Chair of
the State Records’ Board. Lucy has been a great
advocate for State Records. In particular she
pushed State Records to engage with academic
and expert communities when making
recommendations about the disposal of State
records, which has led to stronger links and
more confidence on both sides of the decision-
making process. In January 2013 we welcomed
a new Chair, Ms Anne Henderson, to the Board.
All parts of State Records have been involved
with major projects this year which have helped
to reposition us in a number of ways.
The biggest challenge for State Records in 2012
-13 has been the verification of the valuation of
the State archives. This has been a prolonged
and complex task drawing in staff from all parts
of State Records. It required the identification,
measurement and assessment of every record
series in the archives, plus cross-checking
between the documentation and the physical
locations. Apart from achieving its primary
objective of leading to the valuation of the
collection, this work has allowed State Records
to gain improved information on the condition of
the collection plus gaps in its documentation.
The 75 kilometres of State archives are held in
11 locations across the state so every part of
the process (measurement, valuation and audit)
would not have been possible without the
generous assistance of our regional repositories
and distributed management institutions.
The Public Access team has worked strongly to
turn the attention paid to State Records
because of the closure of the Sydney reading
room to our advantage. Increased outreach
activities, the development of new online
galleries and in particular increased quantities of
archives available online have led to a 22% rise
in the use of original material in the reading
room, although total numbers of reading room
visits are down when compared to the previous
year. Two collaborative exhibitions with
Parliament House and the publication of a
number of journal articles also produced good
responses. Our social media presence continues
to grow and we held our first real-time on-line Q
&A to answer enquiries from the public about
using the archives. Probably the biggest
contributor to increased numbers in the reading
room has been the continuing production of
indexed Probate and Divorce files as a result of
GRR consultancy work with the Supreme Court.
We have also continued to make our collection
more accessible by further engaging with third-
party suppliers to publish State archives online
and also by working towards a less restrictive
copyright regime. State Records has been
represented on the Commonwealth review of
Copyright which has been taking place in the
past year.
The Government Recordkeeping team continued
to work with agencies to achieve records
retention coverage across the sector, now at
89%, and increased awareness and commit-
ment to good recordkeeping. The Records
Managers forums remain popular, as do both
State Records NSW 7
Overview
face-to-face and online training; the Future
Proof blog had a 30% increase in visits this year
and continues from strength to strength.
The Digital Archives team had an intense and
productive year moving towards their project
deadline of June 2013 to have OpenGov
operational as the online repository for
information published by NSW Government
agencies and to have the Digital Archives
migration methodology developed to a point
where it could be released for comment. As
part of the development of the migration
methodology, seven pilot migration projects are
underway. These have provided a valuable
means of testing the digital preservation tools
while working with agencies to identify
requirements for the Digital Archives
Dashboard.
In addition to enhancements to the Digital
Archive infrastructure, State Records was also
given funding to enable replacement of aging
ICT infrastructure. Procurement and
implementation were undertaken during the
year based on recognised industry and
government standards. In 2012-13 State
Records became increasingly aligned with
Department of Finance and Services cluster ICT
initiatives. These include development of the
cluster ICT Strategy, Corporate Operating Model
(COM) project, Information Security and other
initiatives. Our small Corporate team continues
to work efficiently and effectively to support the
services State Records delivers to the public and
to client agencies.
The GRR had an exceptional year with strong
growth in all indicators. In particular the
strategy of offering targeted services to the
public health sector continues to produce good
results, with an expanding client base and
consistent return work. In 2012-13 nearly half a
million patient files were indexed and sentenced
for hospitals across the State. At the same time
the GRR has expanded its support for agencies
by offering a wider range of digital services.
Financially the GRR had another successful year
with an operating surplus of $3.5 million on
revenue of $15 million. However it must be
noted more than $2.6 million of that surplus
was directed towards supporting the archival
programs of State Records. As grant funding
continues to be cut State Records relies more
and more on the GRR to cover the cost of all our
core statutory responsibilities while
simultaneously funding the necessary expansion
of its business.
JENNI STAPLETON
Acting Director
8 Annual Report 2012-13
Overview
Message from the Chairperson
It was an honour to accept the role as Chair of
the NSW State Records Authority in 2013. I
acknowledge the work of outgoing Chairperson
Professor Lucy Taska, and former Director Alan
Ventress who have presided over the beginnings
of what might be seen as a new era for State
Records. I would also like to thank fellow
members of the Board for their welcome and
support.
As a newcomer to State Records, I have been
fortunate to be guided in my role by Acting
Director Jenni Stapleton and Executive Officer
Jim Sinclair. It has been a watershed year for
State Records, with the Authority’s main project
being the task of assessing the financial value of
the State’s 75.6 kilometres of archived
documents and other historical material.
The State Records’ collection, with a current
valuation $824 million, is a collection of
immense significance. It is of utmost
importance that the citizens of New South
Wales, for whom we are the custodians of the
public records, be better informed of the
significance of their records and archived
materials - also of their responsibilities around
the collection, as custodians.
The word “custodian” is one that Australia’s
Indigenous people are more familiar with than
Australia’s non-Indigenous people. This is not
something our non-Indigenous population
should be proud of. But it is a tribute to our
indigenous brothers and sisters that they can
teach us much about our responsibilities as
custodians of our public presence - as a colony,
as a state and as a nation. A people’s corporate
story and global identity can only be sustained
through the imprint of its presence in the
records of its deeds, its experience, its
individuals, their achievements, its governance,
and all manner of manifestations of its
existence, past and present.
Former Principal Archivist of NSW, Ian Maclean
has described the changing role of archival
custodians in recent decades: “The archival
profession has ceased to be concerned, wholly
or even primarily, with the preservation of
records of the past for use by the present
generation and has become involved with
preserving the records of the present for future
users.” The work of the custodian, as such, is
about the future as much as it involves both
users.” The work of the custodian, as such, is
about the future as much as it involves both
past and present. Thus, the work of the public
archivist is an investment for the future.
One of the recent successes of the NSW State
Records Authority has been the publication of
Peter J Tyler’s State Records NSW 1788-2011.
This brief but comprehensive study makes clear
that the establishment of an independent public
records administration in New South Wales was
a most haphazard exercise from the outset –
and only became focused more definitively as a
state service in the latter part of the twentieth
century. For this reason, among others,
recognition of State Records as a vital
instrumentality in the health and economy of
New South Wales has been overlooked.
For much of the time over which the NSW State
Records entity evolved, archival recording was
subsumed by the State Library of New South
Wales. Public records acquired or bequeathed
were confined to inadequate and unsuitable
storage locations, at times so rudimentary that
records were exposed to risk from water and
fire, even building collapse.
Until the passing of the State Records Act in
1998, the preservation of NSW public records
was at best a bottom of the pecking order
priority for the government of NSW. Since then,
it has been an uphill climb for the Authority to
make up the funding and investment needed to
develop a facility worthy of Australia’s oldest
settlement and largest state.
In the current financial year, grant funding from
the State government of NSW was $90 million
for the State Library of NSW and just $4 million
for State Records NSW. GRR financial support of
the archives complements this grant funding
but this is becoming a diminishing resource.
Government funding of State Records NSW is
nowhere near adequate to run its facilities or
pay its staff. A large part of the financing of
State Records NSW’s budget is made up from
the income earned each year by State Records’
business unit, the Government Records
Repository. GRR’s clients are limited to
government agencies - and government
agencies are often solicited by non-government
competitors, leaving GRR at a disadvantage in
gaining new clients.
State Records NSW 9
Overview
As government finances have become
stretched in recent times, the notion that State
Records NSW could be more commercial in its
outlook has been mooted. There should be
many ways in which State Records NSW might
recoup funds for services – but this also flies in
the face of government insistence over decades
that the use of archival material for research
should be free of charge. In relation to the
GRR, which as Peter J Tyler has pointed out
“has become a life raft to support Treasury
funded activities”, the GRR itself needs
investment in order to develop new services to
remain viable – as demonstrated in its “5-year
Business Plan 2010-2015”.
Currently government funding for State
Records NSW is contracting – this at the very
time State Records NSW is being urged to
become more commercial.
Much of the history of State Records NSW has
been the struggle to gain recognition as an
independent entity and for sufficient funding to
provide suitable accommodation for both
records and staff. In 1974, on land at
Kingswood, a new headquarters for the storage
of public records was opened, a building
complex which has grown considerably. It now
includes a modern reading room and state of
the art storage facilities using the latest
environmental technology.
For all that, if State Records NSW is to match
any sort of commercial operation, its reading
and research facilities for the public will need
to be expanded and modernised considerably.
Financing of a broadened and specialised staff
is also needed – for example, at present there
is no Indigenous archivist at State Records
NSW.
The 20 hectare Kingswood site also includes
surplus land which has been earmarked for
sale. If sold, the land would attract a
considerable price as it is suitable for housing
development in a growing area. There has
been no decision taken as to how the proceeds
from such a sale might be used. Since the land
is in the ownership of State Records NSW, it
seems natural that any proceeds should be
used for the further development of State
Records NSW.
In 2009, the NSW Crown Solicitor advised the
Board of State Records NSW that if it did not
create a digital State archive this would put it in
breach of its responsibilities under the
legislation. Around this time, the Victorian State
government made a $60 million grant to the
Public Record Office of Victoria for a digital
records project. State Records NSW only
received $3 million in short-term project
funding to develop a digital archive in 2011 and
the timing of this project has now expired.
In less than two decades, State Records NSW
has grown considerably at its Kingswood site.
This site is set within Sydney’s fastest growing
area and in coming decades has the potential to
become a significant focus for learning and
cultural development in western Sydney,
extending intellectual and cultural facilities in
the greater Sydney area. State Records NSW’s
site is adjacent to a campus of the University of
Western Sydney. There is reasonable access to
rail and bus transport and this will improve with
further housing development.
As universities and public records collections
across the world have demonstrated, valuable
archival collections can be a source of global
connections that underpin academic institutions
and even enhance the attraction of cities for
global visitors. With development and
investment, technology can also make such
collections available to researchers online. If
State Records NSW is to exploit its potential,
and contribute to its income, there needs to be
a long term strategy to capitalise on its vast
archival collection, as well as to expand the
range of services it can offer to both
Government agencies and the public.
The challenges for State Records NSW beyond
2013 are both financial and operational. They
also require a renewed vision. It is the hope of
the Board of State Records NSW that the
incoming new Director will begin planning a long
term strategy to build a public records
establishment in keeping with the success of
Australia’s oldest and largest state within the
Commonwealth.
ANNE HENDERSON Chairperson of the Board
10 Annual Report 2012-13
Overview
Introduction
In this annual report we report on our
performance according to five key result areas
we aim for that benefit the community, either
directly, or indirectly through improved public
sector recordkeeping. These key result areas
are:
Consistent, cost effective retention and
disposal of records by public sector
agencies;
Quality recordkeeping and records
management by public offices and public
officials;
Protection, transfer and cataloguing of
State Archives;
Government and public use and benefit
from records and archives; and
Compliance with corporate governance
requirements.
Details of specific activities carried out over the
year are reported on in a separate Activity
report 2012-13 available on our website
www.records.nsw.gov.au.
Consistent, cost effective retention and disposal of records by public sector agencies
Outcomes
State Records aims to:
Maximise benefits and savings to
Government by assisting agencies to
retain and dispose of records efficiently;
and
Ensure that there is a comprehensive
retention/disposal authority coverage of
the public sector.
Achievements We estimate that 89% of public offices have
comprehensive functional records retention
policies (also known as disposal authorities).
This continuing improvement is largely due to
our strategy of assisting NSW Government
agencies to develop retention and disposal
policies for their unique activities. We approved
14 functional policies submitted by public
offices.
The GRR accessioned 47,600 linear metres of
incoming records during the year compared to
45,300 in 2011-12. There were no
Performance summary
extra ordinary projects to skew the figures in 2012-13. Despite 20,794 linear metres of records being destroyed, transferred or permanently recalled, net growth of 26,806 linear kilometres was still above the 5% forecast.
2012-13 saw the GRR holdings break through the 500 kilometre milestone, and finished the period with 517,556 linear metres of public sector records.
The GRR routinely tracks the number of file
retrieval operations it carries out each month.
File retrieval operations are specifically the
activities of pulling files from storage to return
to clients, and re-filing them when they return
to storage. In 2012-13, the GRR performed
360,440 file retrieval operations, representing a
3% increase. Excluding the 2010-11 result (a
record year with 2 very large projects) the 2012
-13 result is the largest for File Retrieval
actions. This has been driven by the GRR’s
successful implementation of its business plan
in relation to targeting the health sector. Whilst
the proportion of retrievals to holdings
continues to decline, the number of retrievals
continues to steadily climb.
Outlook
Over the next year State Records will continue
to work towards increasing coverage of NSW
Government agencies by retention and disposal
policies. We will continue to focus resources on
assisting agencies to develop and implement
new functional records disposal policies or
review existing policies to ensure they are
current and appropriate. We also expect that
the increased disposal coverage will lead to
continuing demand to transfer State archives to
our care. However, overall it is expected that
continued improvements in disposal policy
coverage and implementation across agencies
will result in more efficient management and
cost effective storage of records.
The GRR anticipates on-going strong demand
for our records storage and associated services
in 2012-13. Our estimate of 5% net growth in
holdings for the year reflects the continued
emphasis we and our clients are placing on the
destruction, culling and transfer to archives of
permanently valuable records.
State Records NSW 11
Overview
Outcomes
Chief Executive Officers and public
officials are aware of their obligations,
committed and skilled;
Effective records management programs,
systems and practices are in place; and
There are comprehensive access
directions made by public offices for
records over 30 years of age.
In 2012-13 we sought improvements in public
sector recordkeeping and records management
systems and practices. We continued to
implement our Chief Executives Strategy,
providing information to new CEOs on records
management obligations. We also continued
our Better skills strategy, providing records
management training to public officials. Finally,
we continued to seek improvements in digital
recordkeeping in the public sector through the
implementation of our Digital records strategy.
Achievements
As we became aware of new public sector CEOs
we sent them information about recordkeeping
obligations and assistance available. During
2012-13 a total of 18 information packs were
sent to new CEOs.
We offered 37 courses attended by 381 public
officials in our annual records management
training program. This was achieved in
partnership with private sector training
providers. A further 522 NSW public officials
attended presentations on recordkeeping and
records management, including forums and
briefings. In addition there were 1,298 unique
visits to our e-learning site and ongoing
engagement with the sector through the Future
Proof blog and Twitter account (with 76,242
visits to the Future Proof blog).
We worked closely with others on the digital
recordkeeping strategy. This included working
closely with NSW government agencies and
other stakeholders to ensure an integrated
approach to records management and
information management strategies across the
sector. We also developed and improved digital
recordkeeping products, including practical
tools and guidance on digital recordkeeping.
Outlook
We will continue to work on raising the
awareness and commitment of CEOs to
improving official recordkeeping and increasing
the skills of public sector officials in the creation
and management of official records.
‘Future Proof’ our digital records strategy, will
continue as a vital focal point in 2013-14.
Work will continue on developing digital
recordkeeping tools, guidance and training. We
will also continue to work closely with NSW
Government agencies and stakeholders to
ensure that digital records needed to support
Government business are appropriately
managed.
Quality recordkeeping and effective records management across the NSW public sector
Crossing the Belyando River after flooding Digital ID: 2014_a037_06_1726000038
12 Annual Report 2012-13
Overview
Protection, transfer and cataloguing of State archives
Outcomes
State Records aims to ensure that:
Archives are protected by public offices and
transferred when no longer in use;
Archives in all formats are stored and
preserved; and
Archives and their context are documented
and catalogued.
Achievements
We worked closely with agencies (particularly
Land and Property Information and the Supreme
Court) to transfer into our custody a large
quantity (3,067 metres) of State archives.
140,161 record items were catalogued, bringing
the total discoverable through our online
catalogue to 962,398.
Outlook
We expect to continue to receive large quantities
of State archives in traditional formats over the
next 5-10 years. Continued funding to manage
born-digital archives appropriately and facilities to
preserve records requiring specialised cold
storage are becoming matters of increasing
concern. The findings of the collection
documentation review will shape our priorities in
coming years; in particular the need to address
large and growing backlogs of series and item
cataloguing.
Government and public use and benefit from records and archives
Outcomes
State Records aims to ensure that:
Archives and records are widely accessible
through a variety of channels; and
The community knows about and values
archives and records.
Achievements
Our online ordering and payment service for
copies of State archives continued to prove very
popular. We added 200,745 names to online
indexes, another popular service.
Public outreach events which we ran or
participated in were attended by 2,238 people.
Outlook
State Records has one of the most popular
websites in the NSW government sector and
sees this as a more efficient way to deliver
archival information in the future.
The Western Sydney Records Centre at
Kingswood continues to provide expert and
professional advice to researchers accessing
NSW State archives in person and over the
telephone. We will also continue to provide a
copy service to a large selection of records
indexed on our website.
We have also signed non-exclusive third party
agreements with Ancestry.com and Find My
Past to make material available on their
websites.
The In Living Memory exhibition of photographs
from the Aborigines Welfare Board remains a
vital resource for the Indigenous and wider
communities.
Compliance with corporate governance requirements
Outcomes
State Records aims to ensure that:
Board mandatory responsibilities are
fulfilled;
Director’s Performance agreement targets
are achieved;
Director’s mandatory responsibilities are
fulfilled;
Workforce capacity and planning
objectives are achieved; and
Continuous improvement of OHS
systems and procedures occurs. Sydney Station clock hands, 31/12/1919
Digital ID: 17420_a014_a014001402
State Records NSW 13
Overview
Indicator Result 2012-13
Target 2012-13
No. of participants in records management program events
903 900
Percent of public offices with comprehensive access directions
48% 48%
Percent of public offices with comprehensive records retention poli-cies
89% 95%
No. of records retention policies approved
14 12
Metres of non-current records in storage
517,566 470,000
Metres of non-current records accessioned
47,600 20,000
No. of file retrieval operations
360,440 300,000
Metres of standard for-mat records in archival cus-tody
75,657 72,500
Metres of records transferred to archival custody
3,067 2,000
No. of catalogued record items discoverable online
962,398 485,592
No. of record items catalogued
140,161 40,000
No. of archives information access points
42 43
No. of website visits 3,246,654 1,500,000
No. of original record items used by readers
28,092 30,000
No. of public program participants
2,238 4,300
Indicators, targets and results
14 Annual Report 2012-13
Overview
Workshop Cockatoo Island
Digital ID: 15344_a044_000030
Facts 2012-13
3,246,654 website visits
28,092 reading room visitors
28,503 original archives used
42 community access points
to State archives collection
across NSW
517.566 kilometres of non-
current
records stored at Western
Sydney
75,657 kilometres of standard
format archives in custody
962,398 record items
discoverable online
76,242 unique visits to the
Future Proof blog
156,434 unique visits to the
Archives Outside blog
11,298 unique visits to online
learning resources
State Records NSW 15
Services and operations
Services and Operations
Records storage services Non-current records stored efficiently
Services for the public sector Efficient retention of public sector records Records retention policies cover whole public sector Quality recordkeeping across the public sector CEOs and public officials aware, committed and skilled Effective records management programs, systems and practices across the NSW public sector State Records’ Digital Archives Project
State of public sector recordkeeping Identifying performance issues
The State archives collection Public offices protect or transfer archives The State archives collection is appropriately stored and preserved The State archives collection is catalogued and documented
Services for the public Sensitive public sector information is appropriately protected Access directions cover all records kept more than 30 years Use of the State archives collection Archives reaching a broader audience The State archives collection is widely accessible to people and government Communities know about and value the State archives collection
Corporate information and communications
16 Annual Report 2012-13
Services and operations
In 2012-13 State Records’ off-budget
records storage business, the Government
Records Repository (GRR) continued to
provide secure and efficient records
storage and related services to the public
sector. The GRR had an exceptionally
successful year which saw all indicators
well above predicted levels.
The GRR aims to keep Government records
storage costs low, while providing a model
of best practice for services and facilities.
While primarily servicing inner-budget
agencies, clients also include local
councils, public hospitals and universities.
Achievements and highlights 5.5% holdings growth, with $3.6 million
operating surplus Continued success of value-added services High levels of activity in the health sector
Non-current records stored efficiently
While demand for storage and retrieval of
physical records continues to grow, the GRR is
cognisant of the fact that government agencies
are actively implementing electronic document
and records management systems (EDRMS)
which will ultimately impact on the need for
paper storage. The GRR continues to develop
and offer value-added services which will
provide an income stream in the face of the real
decline in paper storage that is anticipated from
2017 onwards.
File storage and retrieval service demand
met
The GRR accessioned 47,600 linear metres of
incoming records during the year compared to
45,300 in 2011-12. There were no extra
ordinary projects to skew the figures in
2012-13. Despite 20,794 linear metres of
records being destroyed, transferred or
permanently recalled, net growth of 26,806
linear kilometres was still above the 5%
forecast.
2012-13 saw the GRR holdings break through
the 500 kilometre milestone, and finished the
period with 517,556 linear metres of public
sector records.
The GRR routinely tracks the number of file
retrieval operations it carries out each month.
File retrieval operations are specifically the
activities of pulling files from storage to return
to clients, and re-filing them when they return
to storage. In 2012-13, the GRR performed
360,440 file retrieval operations, representing a
3% increase. Excluding the 2010-11 result (a
record year with 2 very large projects) the 2012
-13 result is the largest for File Retrieval
actions. This has been driven by the GRR’s
successful implementation of its business plan
in relation to targeting the health sector. Whilst
the proportion of retrievals to holdings
continues to decline, the number of retrievals
continues to steadily climb.
Net growth of holdings
Result
2012-13
Result
2012-13
Target
2012-13 5.1% 5.5% 5.0%
Records storage services
State Records NSW 17
Services and operations
File retrieval operations
We are not able to influence demand for file
retrieval operations, as these are based totally
on client requirements. A downward trend in file
retrieval has been forecast for some time due to
the anticipated impact of electronic
record-keeping systems within agencies;
however this is being offset by the growth in
health records and the active life of these
records.
For several years the GRR has tracked its
overall client-facing operations. These include
file retrieval activities, but also activities such as
items transferred into storage, items removed
from storage, and boxes transferred and
destroyed. The figure also includes boxes
processed by our data entry teams for
cataloguing and sentencing services, although
the figure does not include the quantities of
individual files which have been handled
through these latter activities.
In line with the continued successful operation
of the GRR’s value added services and growth in
holdings, the total operations grew by 2%. This
demonstrates that the GRR’s traditional
services, and the value-added services the GRR
is developing, are meeting genuine client needs.
Non-current records stored efficiently
Year Operations % increase
2010-11 840,233 34.5%
2011-12 883,019 5%
2012-13 898,200 2%
18 Annual Report 2012-13
Services and operations
Value-added services
As outlined in its Business Plan, the GRR has
identified the public health sector as a major
market in which it can offer additional services.
The GRR continues to work with Local Health
Networks to reduce their records accumulations
and dispose of records that otherwise cannot
legally be destroyed.
The GRR provides a highly specialised patient
file sentencing service to a number of public
hospitals. The GRR’s automated health patient
records sentencing application (Government
Records Repository Health Information
System - GRRHIS), performs destroy date
calculations automatically, allowing sentencing
of patient files to be carried out with a greater
degree of accuracy in a shorter time-frame –
customized on a per client basis. This has
become an especially well respected and trusted
service recognised to be accurate, cost-effective
and efficient.
There was a continued high level of activity in
health information sentencing over the 2012-13
year, with several major hospitals now
contracting the GRR to routinely remove and
sentence their client information records on an
annual basis. The GRR’s team of experienced
health information sentencers processed
455,212 files in 2012-13. Pleasingly, in 2012-13
the GRR expanded its regional client base, with
another hospital coming on-board and utilizing
the health sentencing service.
We are pleased to report that in the 2012-13
year, Fees & Consultancy revenue was $1.5M,
exceeding the budget target of $1.4M. This was
related to three major factors:
Continuing high usage of the GRR’s
specialised health file sentencing service,
discussed above.
Continuing popularity of professional
archival services, most importantly the
appraisal of records.
Continued high usage of the GRR’s
consultancy services in cataloguing,
indexing and data entry work, some of
which is discussed below.
Financial viability remains strong
The GRR has operated as an off-budget service
unit since 1 July 1990, relying primarily on
paper-based records storage fees to generate
its operating revenue. In 2012-13 the
Government Records Repository's revenue and
expenditure were both above target, leading to
an operational surplus of $3.6 million on
revenue of $15 million, which is 23.8% of
earnings and represents an increase of 16.2%
in operational surplus on the previous financial
year.
The financial position of the GRR has been impacted this year by higher expenditure caused both by increased short-term staffing costs to handle off-site and data-entry projects and the fact that we are operating now at the limits of our storage capacity, which brings inherent inefficiencies and increased costs.
Non-current records stored efficiently
State Records NSW 19
Services and operations
Non-current records stored efficiently
Environmental impact lessened
Our records storage and retrieval business has
limited impact on the environment.
Nevertheless, we are vigilant to ensure we
reduce our impact where possible.
We undertake constant monitoring of our fleet
to ensure that it remains appropriate to our
needs and that we meet our agreed greenhouse
gas reduction targets. In 2012-13 the fleet
kilometres fell by 1.7% as a result of continued
review and optimisation of the transport section.
Despite a lower volume of client authorised
destruction for 2012-13, the GRR securely
recycled 193,842 kilograms of paper through its
destruction service.
Revenue targets and results before contribution
Result
2012-13 $’000
Target 2012-13
$’000
Revenue 15,000 14,740
Expenditure 11,441 11,456
Surplus 3,559 3,285
Case
Study
Value Added Services for Family & Community Services
The GRR has been managing the inactive client files of Community Services
NSW (CSNSW) since 1991. Every year local offices of CSNSW throughout
the state cull their client files and forward them to the GRR where they are
comprehensively catalogued and indexed. This year 431,932 files were
indexed. Complementing this, 169,587 digital images were created. The
data and images generated have been made accessible through the
“CommServDB” (a database that was custom developed for the client) with
access via “CommServNET”, the web application the client uses to access
their information securely and quickly. This system now has
comprehensive details of over 1.1 million files stored in the GRR and as
State archives.
20 Annual Report 2012-13
Services and operations
Outlook and capability
The Western Sydney Records Centre (WSRC) has total storage space of 435,000 linear metres for
non-current records and archives, with the GRR now utilizing an additional 158,000 linear metres
in leased satellite repositories in the Penrith area. In January 2014 a further 60 kilometres of
satellite storage will come on-line.
As foreshadowed in the Business Plan the GRR has run out of storage space and has continued to
lease and equip off-site warehousing to maintain its business. While this is a cheaper option in
the short-term than building on-site not all GRR needs can be effectively met by leased
accommodation. While all GRR off-site storage is of a standard commensurate with the storage of
temporary-value records, it is less efficient to service, and high-use records must remain on-site
at the WSRC.
The GRR’s holdings grew by 27 kilometres in the 2012-13 year, and a large proportion of this
growth has been in records that are not suitable for storage in the satellite repositories, whether
because they are high use, such as patient files, or are to be transferred in the future to the
State archives, such as material from the Supreme Court. It is because of the increase in
holdings of these types of records that the construction of additional on-site storage for the GRR
is essential. The GRR Business Plan showed clearly that we anticipate continued growth in the
storage of long-term temporary records and records required as State archives. These records
need to be stored in air-conditioned accommodation under State Records’ own storage standard.
State Records is currently developing a Business Case for the construction of Stage 7 at WSRC.
This building will cater for both the GRR’s need for long-term temporary and high-access storage,
and special format storage for the State’s archival collection.
We expect that demand for our records storage and associated services will continue to be strong
in the coming year with 5% net growth of holdings. In particular we expect increasing demand
for our professional and value-added services as clients continue to deal with accumulations of
unsentenced records both within the GRR and on their own premises.
Generators being pre-positioned at Kingswood on 17/11/2012 in preparation for power shut down and electrical upgrade
State Records NSW 21
Services and operations
Services for the Public Sector
Efficient retention of public sector records
Official records are kept to support frontline customer service
delivery, facilitate public sector governance and accountability,
and minimise business risk to Government. A small number of
the total records generated are kept indefinitely as part of the
State archives collection.
Public sector records cannot generally be destroyed without the
approval of State Records and its Board. The minimum periods
for which the records must be kept are identified in records
retention policies, known in NSW as retention and disposal
authorities. Significantly, records retention policies also identify
records to be kept as State archives. Routine implementation of
the policies enables the timely transfer of permanently valuable
records to State Records’ care.
Records retention policies are fundamental to effective and
efficient management and disposal of official records. By
identifying how long records need to be kept from a regulatory,
business or archival perspective, retention policies underpin
records storage and management strategies. Prompt destruction
of records that are no longer needed can reduce storage costs – for both paper and digital records storage - and minimise
risk exposure.
Goals:
In partnership with public sector organisations:
to put in place records retention policies that systematically
cover all official records;
to encourage routine application of these policies by public
offices; and
to ensure that public offices apply these policies to digital
records.
22 Annual Report 2012-13
Services and operations
Records retention policies cover whole public sector
Objectives for 2012-13
Increase the percentage of public offices that have comprehensive records retention
policies.
Ensure that agencies responsibly plan for the disposition of digital records and destroy time expired digital records to reduce risk.
Achievements and highlights
89% of public offices have comprehensive records retention policies.
Current location of the Government Recordkeeping section (Land and Property Information building, Queens Square)
State Records NSW 23
Services and operations
Online access to retention policies
We continued to add full text versions of all
newly approved general and functional
retention policies to our website. This strategy
of having on-line policies available ensures that
public offices and any other interested parties
or stakeholders always have access to the
current retention policies.
Existing records retention policy coverage
a good baseline
We estimate that 89% of the current baseline
of 426 NSW public offices monitored have all or
most of their records covered by records
retention policies. This is a good result given
the size and complexity of the public sector and
the limited resources we are able to allocate to
this work.
Many public offices have all of their records
covered by records retention policies as a result
of our strategy over many years of developing
general policies that apply to like organisations.
General policies exist that cover all or most of
the records of local councils, health services, universities, ministers’ offices, Livestock Health
and Pest Authorities, catchment management
authorities and other agencies. These
organisations account for approximately 57% of
the organisations in the NSW public sector.
Of the remaining government agencies and
State owned corporations (which account for
approximately 43% of the NSW public sector),
general retention policies cover all common
types of records they create or hold, such as
administrative, financial and personnel records.
These public offices must develop retention
policies covering the records of their unique
functions. At the end of 2012-13 approximately
75% had done this.
Increase in retention policies covering
government agencies
Public offices are encouraged to develop records
retention policies to ensure their records are
kept long enough to satisfy customer service
and operational needs, as well as support good
governance and accountability.
We review the policies developed by each
agency before they are submitted to our Board
for approval, and then issued. Whilst we aim to
do this as efficiently as possible, it is complex
analytical work and often requires consultation
with experts in many areas. The number of
policies approved is not indicative of the
complexity of work in reviewing them or the
quantity of records they cover. The number
approved also depends on the number
submitted by agencies, the quality of the draft
policies submitted, and whether the Board
approves the policies.
During the year there was a continued increase
in retention policies covering records of NSW
Government agencies and State owned
corporations. Fourteen new retention policies
were approved with six additional public offices
achieving comprehensive disposal coverage
through the issue of these policies. These
included the NSW Rural Fire Service, SAS
Trustee Corporation, Public Service
Commission, NSW Aboriginal Land Council,
Office of the Sheriff and the departments of the
NSW Parliament (Department of Legislative
Assembly, Legislative Council, Parliamentary
Services and the Parliamentary Budget Office).
A general policy to provide for the appropriate
disposal of private practitioners’ records
maintained by public health services was
approved and one policy was developed to
cover a small collection of legacy records
relating to astronomical research activities and
observations carried out by the Sydney and
former Parramatta Observatories. Three policies
approved permitted the transfer of ownership
or possession of certain records as a result of
the sale of government assets or businesses.
Two records retention policies approved during
the year were reviews of existing policies. This
included a comprehensive review of the
Treasury Corporation’s policy and a review of
the Department of Trade and Investment,
Regional Infrastructure and Services’ policy for
records of sponsored visa programs. The
general policy covering records relating to the
management of personnel was also revised and
updated to ensure coverage remained
comprehensive and reflected current
requirements.
Use of an existing policy for growth centre or
precinct development activities by three
additional organisations also responsible for
these activities was approved, providing
comprehensive disposal coverage for the
Barangaroo Delivery Authority, Sydney
Metropolitan Development Authority and the
Central Coast Regional Development
Corporation.
Records retention policies cover whole public sector
24 Annual Report 2012-13
Services and operations
Retention policies approved
Result 08/09
Result 09/10
Result 10/11
Result 11/12
Result 12/13
Whole of agency 9 9 6 11 7
Partial 14 3 6 7 7
Total 23 12 12 18 14
Case study
NSW Parliament
In October 2012 the Board of State Records approved a disposal authority
for records relating to the Houses of Parliament (the Legislative Assembly
and the Legislative Council), the three Parliamentary departments that
provide advice, facilities and services to support the business of the
Parliament (the Department of the Legislative Assembly, Department of
the Legislative Council and Department of Parliamentary Services) and the
Parliamentary Budget Office (responsible for costing election policies and
proposals submitted by political parties and independent Members of
Parliament before a general election). This authority covers records dating
from 1823, when the Legislative Council was established.
The records of Parliament have particular significance with respect to
documenting:
the making of laws for NSW
the accountability of the Executive Government to the people of NSW
debate, discussion and review of issues of public policy and concern
to the people of NSW.
The Houses of Parliament, including Parliamentary Committees, whilst
subject to the protection and disposal provisions of the State Records Act,
are exempt from the provisions of the Act relating to public offices’ records
management responsibilities, the control and management of State
archives and the provision of public access to records but may enter into
agreements with State Records for the purpose of providing for the
application of these provisions. A memorandum of agreement between the
Parliament and the State Records Authority was signed in March 2008 to
provide a framework for the management and preservation of and access
to Parliamentary records and archives.
The authority supports the implementation of this agreement by identifying
Parliamentary records of archival value (the ‘Parliamentary archives’)
which can be transferred to State Records for safe keeping and proper
preservation and public access as appropriate, and providing for the timely
disposal of other temporary value records when no longer required.
Records retention policies cover whole public sector
State Records NSW 25
Services and operations
Outlook and capability
Increasing records retention policy coverage is
a strategic priority for State Records. We will
continue to focus on encouraging agencies to
develop and implement retention policies to
achieve the benefits of more efficient and
accountable management of records, including
potential reductions in records storage /
accessibility costs (in both the paper and digital
environments). In addition, we will work with
agencies to review existing retention policies to
ensure their currency and applicability to digital
records. We will continue to review general
records retention policies to ensure they meet
current needs of public offices.
Managing Digital Records training (Training course provided by Government Recordkeeping section).
Records retention policies cover whole public sector
26 Annual Report 2012-13
Services and operations
Quality recordkeeping and effective records management
across the NSW public sector
State Records sets and promotes standards for the creation and
management of official records across the NSW public sector, and
provides assistance to public offices implementing quality
recordkeeping. We believe quality recordkeeping underpins
efficient government frontline service delivery to the community,
and supports good governance and accountability. Quality
recordkeeping is an integral part of effective and efficient public
administration.
Quality recordkeeping depends on public offices having effective
programs, systems and practices in place so that public officials
know what records to create, what to capture and where records
are kept. Business information is an essential asset in a
knowledge economy. Failures to document decisions, failures to
make accurate records, or failures to locate information can cost
the NSW Government financially or can cause embarrassment
and result in loss of public trust.
Effective records management programs, systems and practices
ultimately support good outcomes for the community as well as
minimising business risk across the public sector. Our success in
this area depends on all public sector officials, chief executives
and their staff being aware of how records should be managed,
having appropriate knowledge and skills, having access to
appropriate guidance and advice, and implementing good
practices.
State Records aims to influence how records are managed in
hundreds of NSW public sector organisations and across
thousands of workplaces. This includes government departments,
statutory bodies, state owned corporations, local councils,
universities and the public health sector. We have direct contact
with, and provide advice to, over 400 organisations or entities, a
high proportion of which are in regional and rural NSW. We
expect parent departments to take a leadership role with those
agencies and units we do not have regular contact with.
Monitoring public sector performance and compliance is a
challenge for us. Instances where we followed up on reports of
recordkeeping failure are described in our report on the section
‘State of public sector recordkeeping’.
State Records NSW 27
Services and operations
State Records has limited powers to compel NSW public
offices to implement quality recordkeeping. We prefer to
encourage good practice by raising awareness of records
management standards and obligations, and by providing
records management training and educational opportunities
for public officials. Promoting good recordkeeping across the
NSW public sector, and getting chief executives to commit to
it, is the greater challenge for us.
Recordkeeping events improve awareness and skills
State Records undertakes a number of initiatives aimed at raising
recordkeeping awareness and the skills of public officials and
ultimately building a strong recordkeeping culture within the NSW
public sector. During the year:
254 NSW public officials attended our Records Managers Forums
(three held in Sydney);
120 attended presentations on disposing of digital records and
recordkeeping and ICT at the Records and Information
Management Professionals Australasia’s annual conference;
138 attended presentations on digital preservation strategies,
monitoring records management and using the Records
Management Assessment Tool, and the disposal of records at
the Records and Information Management Professionals
Australasia’s Local Government Chapter meetings in Avoca
Beach, Queanbeyan and Dubbo;
60 attended the presentation on recordkeeping and risk
management at the Digital Information Forum;
63 attended the presentation on recordkeeping and social media
at the Social Media in Government conference in Canberra;
55 attended the presentation on the evolution of the series
system at the October 2011 Recordkeeping Roundtable, and
153 attended presentations and talks given to specific public
offices or at records and archives management events.
Quality recordkeeping across the public sector
28 Annual Report 2012-13
Services and operations
CEOs and public officials aware, committed and skilled
State Records has limited powers to compel
NSW public offices to implement quality
recordkeeping. We prefer to encourage good
practice by raising awareness of records
management standards and obligations, and by
providing records management training and
educational opportunities for public officials.
Our annual training program is well known and
continues to meet demand across the State.
Our on-line training modules have been
popular and provide a new way for us to reach
our audience.
Increasing CEO awareness and
commitment to recordkeeping
Our success in improving records management
across the NSW public sector relies on our
ability to make CEOs aware of the benefits of
good recordkeeping and persuading them to
commit to implementing standard practices.
Engaging at this level continues to be a
challenge for us.
During 2012-13 we promoted good
recordkeeping to CEOs through:
Sending 18 information packs to new
CEOs; and
Issuing the fifth edition of Future Proof
newsletter to all CEOs.
Demand for records management training
continues
In collaboration with our training partners, 37
short courses were delivered to a total of 381
participants. Courses were held at locations
around NSW: 32 in the Sydney CBD or Western
Sydney and 5 courses in 4 regional centres
(Coffs Harbour, Port Macquarie, Wagga Wagga
and Yass).
A free workshop on managing recordkeeping
risk in business systems has been added to our
Training Calendar and this workshop is proving
popular with public offices, with 80 participants
attending the 6 workshops held in 2012-13.
Some of our training partners have taken the
initiative to arrange and deliver in-house
courses for particular public offices, and these
have included conducting tailored courses on 5
occasions for clients in Sydney.
Objectives for 2012-13 Continue Chief Executives strategy,
particularly sending information on recordkeeping obligations to new public sector CEOs.
Continue records management short
course training program, in partnership with private sector providers.
Meet continued demand for expert advice
on recordkeeping from public officials. Understand and respond to emerging risk,
concerns and issues affecting recordkeeping in the NSW public sector.
Achievements and highlights 903 participants in records management
events, including 381 records management practitioners trained across NSW.
Advised 18 new Chief Executives of
recordkeeping obligations. 11,298 unique visits to the e-learning site. Effective use of the Future Proof blog and
Twitter account to communicate widely on key issues (including 76242 unique visits to the Future Proof blog).
Goals
To increase awareness, commitment and
skills of CEOs and public sector officials in the creation and management of official records.
To encourage public offices to put in place
effective records management programs, systems and practices applicable to their business.
To help public offices to make and keep
trustworthy and accessible digital records.
CEOs and public officials aware, committed and skilled
Our commitment to improving the level of
records management skills across the NSW
public sector is long standing: we have
provided short course training for 30 years.
Thanks are due to our training partners:
Corporate Information Management Services,
Recordkeeping Innovation, Siller Systems
Administration, State Library of NSW, and
Synercon Management Consulting.
State Records NSW 29
Services and operations
CEOs and public officials aware, committed and skilled
Training course participants
Result
08/09
Result
09/10
Result
10/11
Result
11/12
Result
12/13
391 325 579 485 381
Case study
Innovating our training and advice: the EDRMS implementers group
With rapid technological and business change, it is an ongoing challenge for
State Records to offer training and education opportunities that address all
the evolving technologies and risk. In 2012-13 State Records piloted a new
form of event that aims to bring together people with a common business
or technological challenge to share their knowledge or questions about that
issue.
The focus of the pilot training initiative was electronic document and
records management systems (EDRMS). These complex technologies are
used in hundreds of public sector organisations for records and information
management but require detailed assessment, planning, configuration,
integration, implementation, training and monitoring in order to function
effectively. The EDRMS Implementers Discussion Group brings together
records managers in the NSW public sector who are deploying EDRMS in
their organisations to share their experiences, questions and lessons
learned.
State Records promoted the EDRMS Implementers Discussion Group
through the Records Managers Forum, For the record newsletter and Future
Proof blog, and facilitated three meetings of the Group in 2012-13. The
group started with 8 members and has grown to more than 20 members.
The meetings are facilitated by State Records but provide an opportunity
for public sector staff to ask detailed questions, share advice and
documentation and learn from the knowledge and experience that already
exists in the sector. The groups held so far indicate that this is an effective
way for people to learn, create networks and share information.
After each meeting, a blog post is published on Future Proof to share the
information discussed more broadly. To enable conversations to continue
between meetings, State Records has also developed a collaborative
GovDex site for members to discuss issues and share documentation. After
the success of the EDRMS Implementers Discussion Group pilot initiative,
State Records will explore more training opportunities of this type through
2013-14.
Our Training Resource Centre and suite of
e-learning modules continue to be well
received. During 2012-13, we had 11,298
unique visits to the e-learning site, with 2,116
visitors exploring the e-learning modules. The
top e-learning modules for 2012-13 were:
‘Your responsibilities for managing email’,
‘Recordkeeping concepts’, and ‘Recordkeeping
and You’.
During this period we provided copies of the
e-learning modules to seven public sector
organisations for modification and use as part
of their own in-house training programs.
30 Annual Report 2012-13
Services and operations
CEOs and public officials aware, committed and skilled
Recordkeeping events improve awareness
and skills
State Records undertakes a number of
initiatives aimed at raising recordkeeping
awareness and the skills of public officials and
ultimately building a strong recordkeeping
culture within the NSW public sector. During the
year:
250 NSW public officials attended our
Records Managers Forums (three held in
Sydney);
40 attended a presentation on social
media, mobile devices and recordkeeping
at the Records and Information
Management Professionals Australasia’s
Local Government Chapter meeting at
Hawkesbury
50 attended the presentation on social
media, mobile devices and recordkeeping
at the Records and Information
Management Professionals Australasia’s
seminar;
70 attended a presentation on information
risks at the NSW Privacy Network meeting
in Sydney;
100 attended a presentation on ‘Can
archives survive?’ at the International
Congress on Archives in Brisbane; and
12 attended a teleconference roundtable on recordkeeping issues.
Managing Digital Records training (Training course provided by Government Recordkeeping section).
State Records NSW 31
Services and operations
Keeping standards under review
One of the roles of State Records is to approve
standards and codes of best practice for all
aspects of records management in NSW public
offices (under section 13 (1) of the State
Records Act 1998). State Records is also
required under section 13 (4) of the Act “to
keep under review the standards and codes for
the time being approved under this section.”
There are currently six records management
standards in operation covering a wide range of
topics.
During the first half of 2013 we conducted a
survey on digital recordkeeping using the
requirements of the Standard on digital
recordkeeping. The results of the survey will be
reported later in 2013.
Objectives for 2012-13 Meet continued demand for expert advice
on recordkeeping from public officials. Obtain intelligence on current digital
recordkeeping practices and extent of challenges facing the NSW Government.
Revise Standard on the physical storage of
State Records.
Achievements and highlights Effective use of the Future Proof blog and
twitter account to communicate widely (including 36,534 visits to the Future Proof blog).
Three new guidelines on recordkeeping
developed. Revision of Standard on the physical
storage of State records.
Effective records management programs, systems and practices across NSW public sector
Records management standards and guidance at a glance: Online Government recordkeeping manual provides one place to go for all
standards, policies and guidance.
Future Proof blog and web page provides guidance and advice on digital
recordkeeping.
Six mandatory records management standards currently issued.
Over 60 separate guidelines on all aspects of recordkeeping and records
management.
Surveys of public sector records management practice and compliance conducted from 1996
to 2013.
Six online editions of For the Record produced in 2012-13. This newsletter provides updates
on developments and guidance on particular issues.
Provision of an advisory service to public offices on a range of records management issues
via mail, email and telephone.
32 Annual Report 2012-13
Services and operations
Effective records management programs, systems and practices across the NSW public sector
Keyword licenses
Keyword thesaurus products
State Records has offered keyword thesaurus
products for over 20 years and has good
market penetration in Australia, both in the
public and private sector. The products are
designed to be adapted by organisations for use
in classifying and indexing their records. The
products can also be used for a range of
information management purposes, including
developing logical shared drive folder
structures. Our two records management
thesaurus products continued to sell,
particularly outside the NSW public sector,
where they are widely used.
The Keyword for Councils product is now 10
years old and during 2012-13 work commenced
to revise the product. A reference group has
been providing feedback on proposed changes
and a new version of the product will be
released in 2013-14.
Collaboration with government and
industry
State Records regularly participates in
cross-agency initiatives and working groups.
During 2012-13 this involved:
Result
08/09
Result
11/12
Result
12/13
Result
09/10
Result
10/11
Keyword AAA 21 13 9 12 10
Keyword for
Councils
17 15 7 19 9
Revenue $30,970 $24,324 $14,040 $25,805 $19,785
Participation in the Project Smarter
Administrative Regulations Portal
Reference Group (coordinated by the
Department of Premier and Cabinet).
Representation on the Community of ICT
Professionals Advisory Board, as well as
participation in the Community of ICT
Professionals.
Participation in several NSW ICT Strategy
2012 working groups - including the
Enabling Information Sharing Working
Group, Information Management
Community of Expertise, Information
Security Classification and Labelling
Guidelines consultative group
(coordinated by ICT Policy, Department of
Finance and Services).
State Records participates in industry research
and standards-setting where the outcomes
have direct relevance to recordkeeping in the
NSW public sector. During 2012-13 we
participated in the following ways:
as a member of the Standards Australia
IT/21 Records Management Committee;
and
as members of Standards Australia IT/21
subcommittees IT21/5 Management
systems for records, IT21/7
Recordkeeping Metadata, and IT21/11
Integration of Digitisation.
State Records NSW 33
Services and operations
Effective records management programs, systems and practices across the NSW public sector
Digital records strategy, Future Proof
‘Future Proof’ is State Records’ continuing
strategy for ensuring that:
the New South Wales government
documents its business via the creation of
robust, useable and trustworthy digital
records;
digital records are created and maintained
in environments that have been
adequately assessed and treated for risks;
people and government have ready
access to digital records documenting the
business and memory of the State of
NSW; and
the State’s digital archives are protected,
preserved and accessible.
Prioritising engagement: understanding
and responding to emerging technologies
and digital information risks
To help NSW public offices respond to the
emerging risks affecting their digital
information, State Records actively engages
with the public sector and proactively identifies
and advises on digital recordkeeping challenges
and concerns.
Outlook and capability
State Records will continue to promote the benefits of good recordkeeping to chief executives of
NSW public sector organisations. We will continue to provide a range of short course records
management training to NSW records practitioners. We will seek to raise awareness and
understanding of digital recordkeeping requirements and strategies amongst ICT professionals, in
order to better support business. In addition, we will seek to use other opportunities and
partnerships to improve skills across the sector.
State Records will continue to develop and provide records management advice, guidance and
tools to assist public offices. We will continue to work with stakeholders, industry partners and
others to ensure that we provide the most relevant advice and the right tools. We will seek to
disseminate information and communicate through social media and other platforms as
appropriate.
During 2012-13 staff had 88 meetings
specifically focussed on digital recordkeeping
issues. These meetings have been with
agencies dealing with high risk issues and
requiring expert guidance on emerging digital
recordkeeping challenges. State Records staff
also met technology developers and vendors to
advise on recordkeeping requirements and to
help them design solutions that will best meet
the strategic needs and requirements of the
NSW public sector.
These meetings also bring real benefit to State
Records by providing first-hand knowledge of
recordkeeping issues in the NSW public sector
and a real awareness of emerging risks and
trends. The business intelligence gained in
these meetings has been used to develop suites
of advice on social media, information risk,
cloud computing, data management, email
management, database management and a
range of other topics. This advice has focussed
on case studies and examples based on
real-world experiences.
34 Annual Report 2012-13
Services and operations
Effective records management programs, systems and practices across the NSW public sector
Case study
Responding to the needs of the public sector: Strategies for
managing social media information
Through its regular liaison with NSW public sector bodies, State Records
has noted the growing use of social media by NSW government
organisations.
With increasing business mandates for social media use and with large
numbers of government organisations adopting social media applications,
during 2012-13 State Records actively promoted the message that it is
important for all organisations to consider what corporate and business
information is moving to social media platforms and to develop strategies
that ensure this information is maintained and accessible as required.
This is because with social media, organisations are moving away from
more stable forms of business operation, communication and
recordkeeping into more ephemeral operating environments. This is a
positive and necessary business shift in many ways but public sector
organisations need to enter into it with a full awareness of its possible
impacts. As business information moves to being created or received via
social media platforms, organisations will rely on the ongoing accessibility
of social media-based business information to support clients, business
operations, reporting and public accountabilities. Organisations therefore
need to ensure that their models for information management, information
use and information continuity and sustainability move with them and
continue to provide the business intelligence, customer support and
accountability frameworks they require.
On its Future Proof blog State Records has issued extensive advice on
social media management. Its series of posts on ‘How to keep records of
social media business’ were the most popular blog posts in 2012-13 with
thousands of unique views and downloads, indicating the genuine need in
the public sector for this form of practical advice and assistance.
State Records NSW 35
Services and operations
Effective records management programs, systems and practices across the NSW public sector
Knowledge sharing
The Future Proof blog had over 76,242 unique
visits in 2012-13. This was an increase of 30%
on the visits in 2011-2012. In addition, there
were 1,130,265 page views during the year.
This growth rate suggests that the blog is
meeting genuine needs in the NSW public sector
because it:
provides fast and timely advice on
emerging digital recordkeeping issues
makes information accessible to a wide
audience
is structured to aid navigation and
searching
engages both records and non-records
audiences
provides content that agency information
management professionals can reuse and
repurpose quickly for business purposes.
The reporting component of Future Proof allows
an analysis of trends. By tracking blog use
statistics and the popularity of specific posts,
State Records has been able to prioritise the
development of guidance in areas of specific
need. For example, State Records initiated a
number of blog posts and other recordkeeping
guidance on EDRMS, social media and email
management based on this trend analysis.
In 2012 State Records began its series of
monthly ‘question and answer’ or ‘Q&A’ posts on
the Future Proof blog. These have rapidly
become some of the most popular posts on the
blog. Each month Government Recordkeeping
staff receive over 100 questions from
government agencies about a wide range of
recordkeeping issues. The Q&A posts on Future
Proof summarise the questions received about
digital recordkeeping issues and publish State
Records’ responses to them.
These Q&A posts make State Records’ latest
advice available to all NSW government
agencies. They help others to easily find
answers to emerging issues and they provide a
way for information managers to remain
informed about trends in digital recordkeeping.
These posts also open State Records’ advice to
feedback and discussion, to improve the
usefulness of this advice.
Industry Recognition for Excellence
In August 2012, members of the digital records
team won the Records and Information
Management Professionals Australasia (RIMPA)
Article of the Year award for their article, How
to rebrand records management to encourage
support and collaboration. The team was also
shortlisted for the RIMPA Team of the Year
award in recognition of the work and efforts of
the team to promote sound digital
recordkeeping practices across the NSW Public
Sector.
36 Annual Report 2012-13
Services and operations
developing a change management
strategy to facilitate engagement,
awareness and trust in relation to the
Digital Archives project so that eventually
Digital Archives becomes an integrated
part of State Records’ core business.
Sitting within our overall digital records
strategy, Future Proof, the Digital Archives
project entails the establishment of physical
infrastructure and the creation of new systems,
tools and processes to enable State Records to
manage, protect and make available archival
value digital records of the NSW Government.
With the vast majority of official records being
created and kept only in digital form today, it is
vital that State Records extends its preservation
and access delivery services into the ‘born
digital’ environment. Rather than being about
the digitisation of older paper material, this
initiative is about ensuring the integrity and
longevity of key government records in
databases, file systems and the wide array of
formats that characterise the digital working
environment today.
The systems, tools, services and processes
being developed as part of the Digital Archives
project will have broader application in the NSW
public sector to assist with a range of digital
continuity issues for all NSW public office digital
records; including migrating records forward
through technology change, building better
recordkeeping systems and conforming to
standards for ease of information sharing.
Achievements
The Digital Archives team achieved a significant
amount in the second year of the project,
including:
continuing to develop our approach to
keeping digital archives, including further
research on methods for migrating large
complex databases
working on a range of pilot digital archives
projects to test and refine our
methodology and tools
building a ‘Dashboard’ tool to assist
agencies to work with State Records on
digital archives projects
delivering presentations on the Digital
Archives project to conferences, seminars
and meetings of various stakeholder
groups
developing metadata and file format
registries and a workflow control tool and
making these available as open source
software; and
Effective records management programs, systems and practices across the NSW public sector
State Records’ Digital Archives Project
State Records NSW 37
Services and operations
Digital archives pilot projects
The pilot projects the Digital Archives team is
working on were selected on the basis that they
would allow us to test our approach from a
number of perspectives; the size and complexity
of the project, and the inclusion of non digital
records; the quality of the recordkeeping
system. In each case the team has also been
able to see how the management of the project
will vary from case to case, with some involving
a high degree of agency participation with a
range of stakeholders, some more contained.
NSW Fair Trading – Business registration
records
The function of business registration in NSW
that was managed by NSW Fair Trading passed
to the Commonwealth in early 2012. As a
result, NSW Fair Trading ceased to manage the
function but continued to manage business
registration records; a number of which had not
been migrated to the Commonwealth. These
records were managed in the Business
Registration System (BRS), the Business
Registration Imaging System (BRIS) and
imaged business registration records held on
microfiche. The BRS is an Oracle database and
BRIS is a customised version of Objective.
The inclusion of microfiche in the project was
the catalyst for determining how we would
approach hybrid projects involving both digital
and physical formats. This approach would have
to address how we would work with both
internal and external stakeholders in the
project. We identified that a project plan that
could manage any type of format records was
needed. This was a significant change to the
methodology which had previously
encompassed a streamlined project start-up
process followed by assessment activities.
Working with the agency and internal
stakeholders, a suitable structure for the project
plan was established and approved by key
project stakeholders. The project plan has
enabled a structured planning approach to the
various activities that will be involved in this
pilot migration project and the roles,
responsibilities and timeframes for project
deliverables. Currently we are assessing the
BRS database schema as well as export options
from Objective for customised metadata and
files relating to business registration
documentation. There are also a number of
access requirements that will need to be
managed including access to business
registration information that was already
available on the NSW Fair Trading website.
Office of Environment and Heritage (OEH)
– Thredbo Coronial Inquiry
The Thredbo Coronial Inquiry was held in the
year 2000, in the wake of the 1997 Thredbo
landslip disaster. It involved the participation of
multiple parties, including the NSW National
Parks and Wildlife Service (NPWS), who had
responsibilities for the land on which the
tragedy occurred. The inquiry used a Lotus
Notes database as the records repository for its
deliberations, including all papers, statements
and transcripts of the proceedings. It used a
copying service, AUSCRIPT, to locate and scan
all records from all parties onto the database,
including NPWS records. The database consists
of 12.5 Gb of data and almost 20,000 scanned
documents.
Work on this system to date has involved
setting the parameters of the project in a
mutually agreed project plan; talking with OEH
records and information systems staff to
understand how this database related to other
records of the Inquiry and NPWS’s business
processes, as well as analysing and thoroughly
documenting the way the Lotus notes interface
organised and presented the records, and its
metadata schema. The investigation phase has
also involved assessing the suitability of a copy
of the database in an SQL format prepared by
OEH for their own purposes. This presents a
promising option for the capture of the data in a
more manageable format. We are also
considering the range of document formats the
database contains and whether in some cases
the creation of additional copies in better
formats for preservation or access purposes will
be required. Decisions made to create such
Effective records management programs, systems and practices across the NSW public sector
38 Annual Report 2012-13
Services and operations
copies will be reflected in our Preservation
Pathways register. A key activity is the mapping
of the database metadata to our preferred
terms and the registration of new terms in our
metadata registry. Effective management of this
metadata will be essential for managing the
critically important access restrictions on the
records, which include reports and transcripts
that will be open to public access right away,
but also highly sensitive personal information
that is to remain closed.
A number of other pilot migrations are
underway including a Commission of Inquiry
database and a number of smaller collections of
digital files in a range of formats including a/v
files, simple Office formats and social media
records. All are garnering us invaluable
experience in dealing with digital archives
migrations and in refining our approach and
systems.
A consultative approach
To ensure the processes and systems developed
for the Digital Archives project are in line with
State Records’ requirements for the
management of archives as well as meeting
agency needs and aligning with best practice for
digital recordkeeping, the Digital Archives team
has been carrying out its work in a highly
consultative manner. In particular, we have
worked closely with:
the Digital Archives Reference Group:
made up of State Records staff from
across a range of program areas; and
the Digital Records Advisory Group: a
group of records and information
managers and other representatives from
NSW public sector organisations who
provide feedback on products developed
as part of the Digital Archives project
Communication
There are regular updates on what is happening
in the Digital Archives project on the Future
Proof blog, from Future Proof on Twitter and in
other State Records communiques such as For
the Record, our e-newsletter for government
agencies. The Digital Archives team also gives
regular presentations at conferences, seminars
and other events.
OpenGov NSW
In 2012-13 State records NSW launched
OpenGov NSW - a searchable online repository
for information published by NSW Government
agencies, including Annual Reports and open
access information released under the
Government Information (Public Access) Act
2009 (GIPA Act). OpenGov NSW replaces the
former Publications NSW site.
By improving the accessibility of published
government information, OpenGov NSW
supports accountability and makes it easier for
citizens to interact with government.
Government agencies benefit by having a
permanent online repository for annual reports
and other published information, allowing them
to focus the content of their websites on core
services and business priorities. Agencies can
integrate their websites with OpenGov NSW by
creating links to their publications on the site or
by using its public API (application programming
interface) to develop custom widgets such as
lists of publications or embedded search bars.
In April 2013 the Department of Finance and
Services issued a Circular relating to OpenGov
NSW. The Circular directs Government agencies
to upload 2012-13 and subsequent annual
reports to OpenGov NSW as soon as they are
tabled in Parliament and encourages agencies to
use OpenGov to upload information released
under GIPAA on an ongoing basis.
Visit OpenGov NSW at https://www.opengov.nsw.gov.au/
Outlook and Capability
In 2013-2014 the Digital Archives will be
transitioning from project phase to operational
phase. Essential to this transition will be
ensuring that the right procedures, processes,
tools, services and infrastructure are in place to
support an operational Digital Archives. 2012-
2013 has seen the foundation work for the
Digital Archive developed and tested through
pilot migration projects, development of the
migration methodology, process analysis,
stakeholder engagement, systems development
and infrastructure development. The next step
for State Records in developing the Digital
Archives is to build upon this foundation
Effective records management programs, systems and practices across the NSW public sector
State Records NSW 39
Services and operations
Hunter New England Health
Parliament of NSW
ServiceFirst
Sydney Water
Transgrid
Transport for NSW
The University of Sydney Australasian Digital Recordkeeping Initiative (ADRI) partnership We worked closely with others on digital
recordkeeping and archiving strategy and
tools. Australian Digital Recordkeeping
Initiative (ADRI) is an undertaking of the
Council of Australasian Archives and Records
Authorities, the peak body of government
archives and records institutions in Australia
and New Zealand. The primary objective of
ADRI is to pool resources and expertise to find
better ways to ensure that digital records are
preserved and made accessible for the future.
through finalisation of pilot migration projects,
systems implementation, publication of the
migration methodology, availability of tools and
services and finalisation of procedures and
processes to support a fully-functioning Digital
Archives.
With the OpenGov NSW website now launched
and operating State Records will work with
agencies to ensure that content for the website
continues to grow. The open government
initiative to increase transparency of
Government and engage NSW citizens with
Government activities and decision-making is
embedded in both the State Plan (NSW 2021)
and the NSW ICT Strategy. The OpenGov NSW
website managed by State Records NSW
supports the open government initiative and
provides a means for achieving the goals for
open government outlined in NSW 2021 and
the NSW ICT Strategy. With ongoing support,
development and the addition of content
OpenGov NSW can become the central source
for NSW Government information including
publications and GIPAA released material.
Digital Records Advisory Group
In order to ensure that the Future Proof
strategy takes account of current issues and
the needs of the public sector, a Digital
Records Advisory Group was established in
August 2007. During 2012 the membership of
the Group was refreshed. The Group:
advises State Records on real world
examples of digital records issues and
challenges;
provides feedback on products developed
as part of the digital records and archives
strategy; and
are invited to test digital records and
archives solutions.
The Digital Records Advisory Group meets
quarterly and in 2012-13 was comprised of
representatives from:
Ambulance Service of NSW
Attorney General and Justice
City of Sydney
Clinical Excellence Commission
Corrective Services NSW
Department of Finance and Services
Family and Community Services NSW
Fire and Rescue, NSW
Effective records management programs, systems and practices across the NSW public sector
40 Annual Report 2012-13
Services and operations
State of public sector recordkeeping
State Records’ statutory responsibility to promote effective and efficient recordkeeping across the NSW public sector commenced in 1999 with the State Records Act 1998. We undertake this responsibility by setting standards, providing guidance, promoting good practice, and monitoring public office performance and compliance.
The state of public sector recordkeeping is an indicator of our performance, although it is mostly outside our direct control. We have limited power to enforce compliance, preferring to promote and encourage the benefits of good recordkeeping.
State Records started conducting records management
surveys in 1996 and has conducted several compliance and
information surveys since then. We conducted a compliance
survey on digital recordkeeping in the first half of 2013
however the report on the findings will not be available until
later in 2013. Also in this period we conducted two
information surveys on current issues. These surveys are
reported on below.
In this section we:
discuss briefly the survey on digital recordkeeping discuss the findings of the surveys on Electronic Document and
Records Management Systems and email highlight some case studies of NSW public offices undertaking
digitisation of paper based records.
State Records NSW 41
Services and operations
Survey on use of Electronic Document and
Records Management Systems (EDRMS)
In August and September 2012 State Records ran an informal survey on EDRMS use in NSW
government. The short survey was conducted to
gather some base data about current and future
plans for EDRMS use by organisations to help
State Records plan for future training, advice and
support. Due to its informal nature the survey did
not contain definitive data about the state of
EDRMS implementation across the public sector
but it did provide State Records with useful
information.
94% of respondents reported having an EDRMS.
By far the largest proportion of respondents used
TRIM (58%), with 17.5% using Objective and
15.8% using DataWorks.
In terms of percentages of staff who had access to
EDRMS, 32% of respondents said that 90-100% of
their staff had access to an EDRMS, 16% said
51-60% of staff had access, 11% said 61-70%
had access, 9% said 11-20% of staff had access
and 7% said that less than 10% had access.
In terms of percentages of staff with access who
then actively use their EDRMS, 14.3% reported
that 51-60% of users regularly used the EDRMS,
14.3% said that 31-40% of staff were regular
users and 14.3% reported that less than 10% of
staff were regular users. 9% reported that
91-100% of staff were regular users.
47% of respondents said that their EDRMS was
integrated with business systems, while 53% said
that theirs was not. Of those who have
integrations with their EDRMS, 54% have one
business system integrated and 46% have two or
more systems integrated. In terms of the types of
business systems that are integrated with EDRMS,
36% have property management systems
integrated, 24% have financial management
systems, 24% have case management systems
and 16% have client management systems.
When asked ‘What is your organisation intending
to have as its primary recordkeeping environment
in the future?’, 55% reported that ‘We will
continue to use our current EDRMS as our primary
recordkeeping environment for the foreseeable
future’. 28% reported that ‘We will have multiple
recordkeeping environments, including EDRMS,
business systems and collaborative workspaces’.
The final question in the survey asked for other
comments about EDRMS use. Thirteen responses
Monitoring digital recordkeeping
During the first half of 2013, State Records
conducted a survey on digital recordkeeping.
The survey was part of State Records' 2013
Digital recordkeeping monitoring exercise.
We received responses from 279
organisations (100% of the public offices
required to complete the survey). Collation
and analysis of the responses received is still
to be completed and a report of the findings
of the survey will be produced in the second
half of 2013. This report will provide a useful
view on the current state of digital
recordkeeping across the NSW public sector.
As part of this monitoring exercise, State
Records requested verification and validation
responses from organisations that had ticked
‘Yes’ to the following survey questions:
Does your organisation have policies or
procedures which require that digital
recordkeeping functionality is
incorporated into any new business
system design?
Does your organisation have policy or
procedures for migrating digital
records?
Has your organisation undertaken a
risk assessment of business and
recordkeeping risks before using
cloud-based services?
83 agencies said yes to one or all of these
questions and were consequently asked to
provide documentation to verify and validate
their response. By the end of the validation
period, 81 agencies, or 97% of those asked
to provide documentation, had responded to
State Records’ request, which was a good
result.
The verification and validation process is
providing useful business intelligence for
State Records. It is showing how State
Records’ requirements are being interpreted
and deployed in the public sector and where
State Records advice, guidance and
examples may need to be improved or
increased. The verification and validation
process is also providing dozens of examples
of the work public offices are doing to deploy
strategic and effective recordkeeping in
support of their business operations.
State of public sector recordkeeping
42 Annual Report 2012-13
Services and operations
State of public sector recordkeeping
were received, including ‘Our EDRMS is one
of our key business tools and enables us to
perform our work effectively and efficiently’,
‘Our EDRMS is being implemented for the
wrong reasons (eliminating paper and
compliance, not better information
management)’, ‘…many systems have been
implemented to get people more
involved in record keeping but they typically
have not made it 'easier or more
user-friendly'. The strategy that we are
taking is to not implement further systems
but develop tools that simplify capturing
metadata and empowering current systems’
and ‘I train users of our EDRMS and find that
most 'middle' managers do not use it - they
know it has value however are too busy to
make the time to upload their documents.
This, of course, filters to their staff...’.
The valuable information gathered through
this survey exercise has been used by State
Records to develop advice and training
strategies aimed at improving the
effectiveness of EDRMS implementation.
Survey of email management and
practices
Email systems continue to be the most
widely adopted government business
systems and much government business
information is exchanged through these
systems. In order to refresh advice on email
management State Records sought to assess
the extent to which email management is a
risk to government business and the ways in
which NSW public offices are managing email
of corporate value.
During April and May 2013 State Records
conducted a short survey on email
management practices. 43 respondents
answered the survey.
The key survey findings are:
Email systems are a core business system for many organisations, but evidence of corporate decision making and approvals is also stored in other systems (e.g. electronic document and records management systems (EDRMS), business systems etc.) Equal numbers of respondents agreed with one of these propositions, with almost one third of respondents agreeing with both.
Email messages have business value, but their ongoing value as evidence is disputed: 62.8% of respondents considered that email messages have business value to their organisations, but only 49% considered that messages need to be kept long term.
Email messages with corporate value are often only stored in personal email accounts, and are therefore at risk of loss or premature destruction: 81% of respondents agreed that this is the case in their organisations.
In the majority of organisations employees routinely capture messages of corporate value using traditional methods (i.e. by capturing messages to an EDRMS or printing and filing them). However, in almost one third of organisations employees neither capture messages to an EDRMS nor print and file them.
About half of the responding organisations have implemented an email archiving solution.
The survey also asked about email disasters, in
order to assess the extent to which the inability to
find email messages when required exposes an
organisation to specific risks and penalties (e.g.
being forced to settle or losing a legal dispute,
financial penalties such as fines etc.) The results
indicate that few organisations have incurred
specific risks or penalties as a result of being
unable to find email messages when required, with
the majority of respondents (83%) advising that
their organisation has not experienced an
email-related ‘disaster’. Very few respondents
advised that their organisation had suffered a
particular set back or penalty as a result of being
unable to find email messages when required:
11% of respondents advised that their organisation has suffered a financial penalty, e.g. a fine.
3% of respondents advised that their organisation has been forced to settle a legal dispute.
3% of respondents advised that their organisation has lost a legal dispute.
3% of respondents advised that their organisation had to retrieve all messages that mentioned a particular word from backup tapes to satisfy a Standing Order 52 for papers.
While this data is not definitive due to its informal
nature, it does provides State Records with useful
business intelligence. By understanding existing
business systems that are used to manage email
State Records NSW 43
Services and operations
SAS Trustee Corporation
NSW Rural Fire Service
Office of the Sheriff of NSW
Public Service Commission
NSW Aboriginal Land Council
Barangaroo Delivery Authority
Central Coast Regional Development
Authority
Sydney Metropolitan Development
Authority
Houses and Departments of Parliament
(Legislative Assembly and Legislative
Council, Departments of Legislative
Assembly, Legislative Council and
Parliamentary Services) and the
Parliamentary Budget Office.
State Records encourages public offices to
review their retention policies as appropriate.
During the year NSW Treasury Corporation
(TCorp) sought and obtained a full review of its
retention policy. The review was timely and will
ensure the policy continues to provide
comprehensive coverage that meets the
operational and business requirements of this
organisation.
such as email vaults, State Records can develop
targeted advice to assist with the
implementation and configuration of these
systems. By understanding the different levels
of business risk that respondents apply to email,
State Records can gauge the business value of
the information contained in email systems and
help agencies develop appropriate and targeted
strategies for its management. Analysis of retention policy coverage
A total of 426 public offices were analysed for
the extent of the disposal coverage of their
functional records. Of these, 243 public offices
(57%) are covered by general retention policies.
Three ratings were applied to the remaining 183
(43%) public offices:
Green light (75%) – these public offices
have functional comprehensive coverage
of their records.
Amber light (9%) – these public offices
have some functional records covered.
Red light (16%) – these public offices have
no or few functional records covered. The following public offices obtained
comprehensive retention policy coverage during
the year:
State of public sector recordkeeping
Album - construction of aerodrome Norfolk Island - D.8. caterpillar tractor in
sea at Cascade. Slipped from barge (when not under D.M.R Department of Main Roads control) in heavy surge.
Digital ID: 20013_a035-06_17266000124
44 Annual Report 2012-13
Services and operations
Identifying performance issues
State Records monitors reports published by the NSW Audit Office, Ombudsman and Independent Commission Against Corruption to identify recordkeeping performance issues. We also take note of media reports and issues raised with us by members of the public. We take action on select instances, usually writing to the public office and following up with a meeting or assessment of recordkeeping systems, as required.
State Records has acted on twelve instances of reported poor performance. Two of the cases are described below.
Good disposal practices
State Records investigated a possible
recordkeeping issue at a NSW government health
organisation following allegations in the media of
patient medical records being dumped in
non-secure areas. In the follow-up with the
health organisation, it was found that the
patient medical records had not been dumped. As
a result of this issue, the health organisation has
instituted better records disposal practices and
training for staff in the disposal of records.
Frameworks for good recordkeeping
State Records investigated a possible recordkeeping issue at a NSW government agency after a complaint was raised by a
member of the public. Briefly, the complaint
concerned whether or not the government
agency was creating and capturing records; in
particular, the making and keeping of file
notes of meetings and discussions between
the agency and external organisations or
people.
State Records assessed policy, rules,
procedures and training materials that would
guide agency staff in the making and keeping
of file note records. At the heart of this issue
is whether the policy and rules issued to staff
instructing that records were created and
captured, in particular the creation and
capture of file note records, was adequate and
whether there was conformity with these
rules. Failure to create and capture records
documenting actions, decisions, guidance or
advice into appropriate recordkeeping
systems can expose an organisation to a high
level of risk or embarrassment.
State Records found that the necessary
frameworks were in place; however
suggestions were made to the agency for
improvements to the frameworks for
recordkeeping.
Album - construction of aerodrome Norfolk Island - First plane to land. Brought mail for New Zealand
troops. Another plane dropped in parachutes lamb, green peas, potatoes for the N.Z. troops Christmas
dinner Digital ID: 20013_a035_06_17266000124
State Records NSW 45
Services and operations
State Records manages and preserves the State archives
collection so that it is available to the people of NSW. The State’s
archives are also the corporate memory of the NSW Government
and broader public sector and therefore have value to public
officials. As our collection includes the earliest government
records in Australia, dating from the arrival of the first
Europeans, it is also used by people around Australia and the
world.
Records to be added to the collection are identified in records
retention policies. We encourage public offices to transfer these
records to our custody when they no longer need them. There
has been a gratifying increase in transfer activity in recent years,
but many valuable public sector archives remain in public offices,
often in less than ideal conditions.
Most of the current State archives are in their original form
(paper and other media) and remain uncopied, which poses
challenges in their ongoing preservation and making them widely
accessible. A major challenge is to catalogue and document the
collection, particularly individual items.
Increasingly, records of government business are ‘born digital’,
and those digital records identified as State archives should be
preserved in digital form. State Records has received funding for
the Digital Archives Project up to 2012-2013, which will allow us
to put in place the necessary staff, technology and guidance to
make digital archiving operational.
State Records is committed to maintaining a range of access
points. We provide access to the State archives through our
reading room, our website and 42 community access points
across regional NSW. We are also committed to promoting the
State archives collection as a rich cultural and information
resource. This involves us in presenting an extensive public
program of talks, tours, exhibitions and other events.
Goals:
To have public offices transfer their archival records,
including digital archives, to our custody or a regional
repository once they are no longer in current use, unless it
is appropriate for them to manage their own archives.
To ensure the State archives collection, in all of its locations
and formats, is appropriately stored and preserved.
To catalogue and document the State archives collection so
that it is accessible to the people of NSW and Government,
and to facilitate its management.
To provide a diversity of channels by which the people of
NSW can access the State archives collection.
The State archives collection
46 Annual Report 2012-13
Services and operations
Public offices are responsible for
protecting that part of the State’s archival
heritage which is under their control. Many
public offices hold records of archival
value which they no longer use. State
Records encourages public offices to
transfer these records to us, to ensure
their ongoing preservation. We can also
make the archives accessible through our
public reading room and online services.
Archives not transferred to our custody, or
to one of the six regional repositories, are
at greater risk of loss or accidental
destruction or damage. State Records can
also make agreements with public offices
to preserve and make accessible their own
archives, where it is logical for them to do
so and they can meet important
conditions.
Objectives for 2012-13 Encourage public offices to transfer their
archival value records to our custody.
Achievements and highlights 3,067 linear metres of archives plus 2,395
plans transferred as State archives.
Public offices protect or transfer archives
we are in negotiations to enter into a
indefinite term. In the interim both
organisations have agreed to act in good
faith. Discussions with Historic Houses Trust
(Justice and Police Museum) and
Muswellbrook Council, concerning the
implementation of a distributed management
agreement are ongoing. The distributed
management agreement with the University
of Newcastle was renewed for an indefinite
term.
Distributed Management Agreement with
Wingecaribbee Shire Council
On Wednesday 6 February State Records
A/Director Jenni Stapleton attended the Local
Studies room of Bowral Library for the
opening of the Archival Collection of
Wingecarribee Shire Council by Mayor, Juliet
Arkwright. Under a Distributed Management
Agreement with State Records NSW, Council
has transferred over 750 archives from its
predecessor councils to the Local Studies
collection. This includes Rate books dating
Continuing interest from agencies in
managing their own archives
While there is a strong desire amongst
councils and universities to retain custody of,
and manage their archives, few agencies
(particularly local councils) are adequately
resourced to meet the essential conditions for
managing and making accessible their part of
the State archives collection. However, we did
receive serious expressions of interest in
distributed management from four regional
councils (Muswellbrook, Coffs Harbour, Cabonne
and Wingecarribee).
Distributed Management
The State’s archives can only be managed
outside State Records’ custody by agreement,
which involves control over the archives passing
to State Records, and which places a number of
obligations on the public office. There are
currently six ‘distributed management’
agreements in place. There are ‘full’
agreements covering three of the regional
repositories (at Wagga Wagga, Armidale and
Newcastle University), plus the University of
Western Sydney; while partial agreements
(covering selected records only) are in place for
the Powerhouse Museum and most recently
Wingecarribee Shire Council. The agreement
with the NSW Police Force lapsed in early 2012;
State Records NSW 47
Services and operations
Distributed Management Agreement with Wingecaribbee Shire Council 6 February 2013
back to 1886 as well as Infectious Disease Registers and burial documents. Councils’ Manager of Customer and Information Services, Andy Carnahan, noted that “There’s a growing movement to return historical documents to the community…….our records staff took the initiative and worked with State Archives (State Records NSW) to enable the community to access a glimpse into the past through the documents of the day.”
In opening the collection Mayor Juliet
Arwkwright stated that “In a year in which we
celebrate the dual sesquicententary
anniversaries – or 150th birthday
celebrations for both Moss Vale and Bowral –
I can’t think of a more fitting birthday gift for
all of our Shire’s residents.”
In 2013/2014 it is planned to send State
archives from a local school to Wingecarribee
at which point it will formally become part of
State Records Regional Repository Network.
48 Annual Report 2012-13
Services and operations
Public offices protect or transfer archives
Archives management at a glance: The State archives collection is distributed, being located in Western Sydney and
six regional centres. State Records has purpose-built storage for archives. Public offices can transfer records that are identified as State archives in a
records retention policy, are covered by access directions and meet other conditions.
Public offices can manage their archives as part of the distributed State archives collection, by agreement with State Records.
State Records is seeking government support to continue a whole of government digital archiving solution for ‘born-digital’ State archives.
Metres of standard format records transferred as archives
Public offices continue to transfer State
archives
Quantities of archives proposed for transfer can
fluctuate considerably from year to year, and are
largely outside our control. However, 2012-13
saw a continuation of the general pattern of the
past five years, with transfers totalling more than
3,000 metres.
136 transfers covering 123 series were received
at Western Sydney. The Land and Property
Information Division (LPI) of the Department of
Finance and Services was again the most active
public office, with the series NRS 13859 Crown
plans making up the bulk of the records
transferred. The primary impetus for these
continuing large-scale transfers has been the
move to digital modes of business within LPI,
as very large series such as the Crown plans
are being digitised, thus allowing the original
records to be ‘retired’ to archival storage. 1.44
metres of Parliamentary archives were also
received for storage and preservation under the
terms of an agreement with the NSW
Parliament.
Regional repositories received several transfers
of State archives, including vital records from
local councils and importantly the first transfer
from a Livestock Health and Pest Authority
which hold key records that document the early
history of regional communities, often
preceding local councils in an area.
Result 09/10 Result 10/11 Result 11/12 Result 12/13
State Archives transferred to State
Records’ custody
1,292 1,872 3,549 3,067
State archives transferred/added
to regional repositories
28 50 82 7
State archives transferred/added
to other distributed collections
n/a 131 0
Total 1,320 2,053 3,631 3,074
State Records NSW 49
Services and operations
Public offices protect or transfer archives
Number of non standard format items transferred as archives
Result 09/10 Result 10/11 Result 11/12 Result 12/13
Maps and plans 1,086 760 1,241 2,395
Maps and plans (to regional
repositories)
5,000 0 0 0
Total 6,086 760 1,241 2,395
Support for regional repository
network
Support for the six regional repositories
continued, focussing on grant funding, training
and advice on preservation, documentation and
transfer matters. State Records continued to
build relationships with the regional
repositories, and the Senior Project Officer
visited the repositories at Auchmuty Library,
University of Newcastle, Newcastle Region
Library and University of New England and
Regional Archives during the year to inspect and
monitor the management of State archives, and
to discuss current and future activities and
projects. We also provided advice and guidance
to a number of community archives
organisations.
State Records continued to support the
promotion and outreach of regional repositories
through the Archives Outside blog, which
provides an online forum for the repositories to
promote both their collections and their parent
institutions. Further details about Archives
Outside are given elsewhere in this Report.
Regional Repository Forum 2012 On 10 October 2012 State Records held a Regional Repository Forum in Dubbo. The event was attended by representatives from 5 out of the 6 regional repositories as well as the A/Director State Records, the A/Manager Archives Control and the Senior Project Officer Distributed Management. The title of the forum was “Managing Collections and Copyright” and included presentations on insurance, collection valuation, acquisition/donation forms and copyright and archives.
Outlook and capability
State Records anticipates that significant quantities of archives will continue to be transferred to
our custody over the next five to ten years, as the bulk of paper-based records become inactive
and as agencies with responsibility for vital infrastructure implement major copying projects.
However, the large number of series being transferred continues to place pressure on our limited
archival and clerical support staff resources.
It is gratifying that many public offices are fulfilling their obligations under the State Records Act
by transferring inactive permanently valuable records as State archives. Unfortunately the
volume of material transferred over the past 10 years is such that we are unable to fully check all
consignments, and a large backlog has built up; delaying final approval of many transfers, and
the registration of consignments and uploading/’publication’ of item lists.
Increased demand for the transfer of State archives in digital form is expected, especially as
funding has been provided for the Digital Archives project up to 2012-2013. Whilst transferring
archives into our custody is important to us, we will also continue to support a distributed State
archives collection. To this end we aim to put more distributed management agreements in place
with regional repositories and those public offices that have the capacity to manage archives in
accordance with the conditions that ensure they are properly preserved, documented and
accessible to the community.
50 Annual Report 2012-13
Services and operations
Regional Repository Forum 10 October 2012
Public offices protect or transfer archives
State Records NSW 51
Services and operations
Public offices protect or transfer archives
Donor Records donated
Orange District Library Orange District Hospital admission registers, 1916 - 1921
Royal National Park Regional
Advisory Committee
Minutes of the Royal National Park Advisory Committee,
1979 - 1984
Member of the public TAFE NSW oral history recordings
Member of the public Sheriff’s records, 1815 - 1912
State Library of NSW Indexes to the achievements of Government (Public Service Board)
Albury & District Historical
Society
Admission register for Roachdale and Cromer (Provisional) Schools,
1898-1912
Ms Glenda Gartrell Papers of the Corrective Services Advisory Council, 1985-1988
Member of the public Two volumes of forestry surveys and timber assessment books for
the Urunga district, c.1918
Member of the public (via the
State Library)
Correspondence relating to the Milson Island and Rabbit Island
(later Peat Island) asylums, 1910 -1980
Mr Peter Tinslay Police Charge and Summons Book, Newtown Station, 1897
Mr Peter Chin, President,
Springwood Historical Society
Parramatta Gaol Photograph Description sheets, 1902 – 1924
Dubbo & District Family His-
tory Society
Goodooga and New Angledool births, deaths and marriage registers,
1894 – 1974
Donations of records
Offers of State archives gratefully acknowledged
Some official records have in the past strayed from the public office that created or held them.
State Records relies on the generosity of the public to return those records which would make a
valuable addition to the State archives collection.
State Records gratefully acknowledges the following people and organisations for their donations:
State Records also purchased a significant set of records from the collection of Robert Edwards for
sale at Hordern House Rare Books. The records included three documents relating to prisoners
from India who were sentenced to be transported to NSW and arrived in Port Jackson on the ‘Eliza’
on 5 July 1813 and an assignment List of 200 Male Convicts embarked in the ‘Planter’ for NSW, 13
June 1832.
52 Annual Report 2012-13
Services and operations
State Records manages an extensive
government archive collection, comprising
items of varying formats, across seven
locations. Archives require clean,
environmentally-controlled storage
conditions to help ensure their
preservation over many years. Non-
standard format archives, such as film,
require purpose-built cool storage.
Archives in digital format require a
different storage and preservation regime.
We are committed to providing the best
available storage conditions for all of the
State’s archives. Where appropriate
storage is available it slows further
deterioration of the archives.
Objectives for 2012-13
Preserve born-digital State archives.
Undertake conservation treatment on
priority items.
Achievements and highlights
Digital Archives project – funding received
and project ongoing.
Priority items received conservation
treatment .
The State archives collection is appropriately stored and preserved
Metres of standard format records in archival custody
The State archives collection continues to
grow
The State archives collection increased by
3,067 metres of standard format archives
during the year, bringing the total collection to
more than 75,657 kilometres.
Standard format archives include files and
volumes stored on shelves, and all other
records counted in linear metres (including
microfilm reels, film and audio visual items). Result
11/12
Result
12/13
Archives in State
Records’ custody
66,726 69,711
Records to be
appraised in State
Records’ custody
3,519 3,519
Total in State Records’
custody
70,245 73,239
Archives in regional
repositories
2,420 2,427
Total in archival
custody
69,117 75,657
Note: These figures do not include the 461 metres of Parliamentary archives held by agreement with the NSW Parliament.
State Records NSW 53
Services and operations
The State archives collection is appropriately stored and preserved
Digital archives preservation
Archives Control and Management staff
attended a number of meetings during the year
in relation to planning for digital preservation
and worked in teams with the Digital Archives
project staff on three of the pilot projects as
part of building internal skills and capacity.
Preservation advice provided to agencies
As the level of transfer activity has increased,
and more agencies are undertaking large-scale
digitisation projects, there is a need to provide
expert preservation advice before records are
actually transferred as State archives. State
Records has an ongoing relationship with Land
and Property Information (LPI) in relation to
several major digitisation and transfer projects,
and we also assisted a number of other
agencies during the year.
State Records seeks to ensure that records of
archival significance are being properly stored
and managed while still in agency custody, and
to provide guidance on appropriate handling,
packaging and transportation for records to be
transferred. We also assist agencies to identify
seriously damaged records, and advise on
essential remedial conservation work that may
be necessary before they can be accepted into
our custody. Conservation advice was
requested by government agencies, a range of
private individuals and groups, regional
repositories and local councils on 16 occasions.
During the year, agency staff, TAFE students,
Kingswood primary school, U3A and family
history groups took the opportunity to visit the
conservation laboratory on 29 separate
occasions, highlighting the role State Records
has in the long term preservation of State
archives.
Macro-preservation challenges
Constant monitoring of the environment and
storage areas is part of the routine of managing
potential mould and pest threats. A database to
document the results of pest trapping is being
used to improve our knowledge about pest
movements and possible infestations. This is
designed to allow intervention in real time.
Regular formal meetings of Archives Control
staff and the Facilities Manager has aided the
integration of pest management across State
Records’ facilities.
The IAB conducted an audit of the physical
storage of the State archives at the Western
Sydney Records Centre. Detailed follow-up of
the audit results have been postponed until
after the completion of the valuation of the
State archives collection.
Conservation provides ongoing inspection of
individual items and incoming batches of
material for the GRR when requested, with 186
inspections during 2012-13.
Special format storage
Through the IAB audit State Records identified
special formats as being at risk due to a lack of
specialised storage. As a result the
development of a business case was initiated to
seek funding for Stage 7, a building to house
the storage of special formats such as maps,
oversize items, film and glass plate negatives.
Stage 7 will also incorporate a temporary
records store which will be funded by the GRR.
The development of the business case was set
aside until the completion of the collection
valuation.
54 Annual Report 2012-13
Services and operations
Outlook and capability We anticipate an increasing involvement with assessing, preparing and treating items required
for online gallery and digitisation projects, thus making available a wider range of archive
materials to a growing user base. Monitoring and treatment of records will continue in order to
minimise their deterioration. Conservation staff will continue to provide advice to agencies to
assist in the preservation of records of long-term and archival value.
Items receive conservation treatment
During 2012-13, 326 fragile items received
treatment to enable access for a range of
activities. Agency retrieval saw 595 files
receiving treatment prior to despatch, the
majority being for the Department of Family
and Community Services. 40 previously
un-issuable items were made available for
researchers and condition assessment advice
was provided when required by the reading
room.
The growth of digitisation projects has seen
conservation increasingly involved in the
assessment of items, their preparation and/or
treatment for copying. Agencies are engaging
the GRR to digitise State archives and all State
archives series copied are inspected and
assessed first. Inspection of NRS 4335 Public
Building plans prior to digitisation continued.
This year 61 building plans were treated out of
the 90 inspected. As part of the continuing
digitisation project by Land and Property
Information (LPI), of the 5,500 Crown Plans
held by State Records This year over 715 plans
have been assessed, of which 467 required
treatment.
Conservation input has been required for a
variety of in-house displays and digital galleries
on the State records website including the 1942
gallery, a gallery developed to commemorate
the first crossing of the Blue Mountains by
Europeans, a gallery to mark Canberra’s
centenary celebrations and unusually 48 State
archives featuring threads or fabrics for a
History Week gallery.
242 Corner Botany and Henderson Roads Digital ID: 20224_a038-000148
The valuable contribution of our volunteer
program has seen progress in the completion of
11 more boxes of Deceased Estates files being
cleaned and rehoused for easier access. This
work can be very time consuming. Also our
volunteers have processed and rehoused
another 7 volumes of Colonial Secretary’s
In-letters.
The State archives collection is appropriately stored and preserved
State Records NSW 55
Services and operations
Cataloguing and documenting the State
archives collection is essential for making
it accessible to the public and Government,
and for managing the collection.
While much of the collection is
documented well at a broad level,
extensive work is required to catalogue
individual record items so that they are
discoverable through our online catalogue.
Individual items include files, volumes/
registers, plans, and photographs.
In addition to cataloguing, we publish
guides to the collection to help
researchers better understand and locate
archives on a particular theme or from a
particular period.
The documentation methodology we have
used since the 1990s is known as the
‘series system’ and is common to many
Australian archival institutions. This
involves research, which results in
registrations of archival series (groups of
related items) and of the bodies that
created or were responsible for them
(agencies, persons). Broader contextual
information is also captured about how the
NSW government has functioned and been
organised since 1788. However, series
cataloguing is an inherently
labour-intensive task, and it remains a
significant challenge to utilise our limited
resources in tackling the substantial
numbers of new series being transferred,
as well as a large backlog.
Objectives for 2012-13 Improve documentation of series
transferred and held as State archives. Improve documentation of regional State
archives by distributing grant funding for Archives in the Bush.
Catalogue 30,000 records items and reach
more than 485,592 record items discoverable online.
Achievements and highlights More than $30,000 distributed as grant
funding to regional repositories for documentation projects.
140,161 record items catalogued, bringing
total discoverable online to 962,398 record items.
The State archives collection is catalogued and
documented
Progress with documentation
A project to document the administrative
history of courts of petty sessions (active from
1832 to 1984) continued in 2012-13. Project
goals were to complete administrative history
notes and relevant links for existing agency
registrations which had little or no detail and to
track responsibility for record series for courts
which have since closed. The courts of petty
sessions project was completed in 2012-13
with over 430 agency registrations expanded
and linked to their successor courts. It is
anticipated that this project will provide the
context necessary for series registrations of
court records once the court disposal project is
completed. Other context-related work was
undertaken as required, however the main
emphasis for the year was on collection
valuation.
56 Annual Report 2012-13
Services and operations
Minimal progress with series registration
The detailed internal review of collection
documentation completed during 2009-2010
identified the large backlog of documentation
work that has built up over the past decade.
Due to most archivist staff resources in
Archives Control being re-directed to the
collection valuation there was minimal progress
with series registration during the year.
Archivists at Western Sydney have documented
a number of significant series during 2012-13
including: NRS 20017 War files [Department of
Railways], c.1939-c.1951; NRS 20297
Evaluation of services – audio cassettes
[Department of Youth and Community
Services], c.1980-c.1981; and NRS 20297
Personnel records of the Senior Executive
Service [Department of Education], 3 Jul 1970-
12 Nov 1991.
‘Sentenced beyond the Seas: Australia’s
early convict records’ digitisation project
State Records NSW holds the earliest convict
records in Australia. Their significance has
already been acknowledged with a UNESCO
Memory of the World citation in 2007. State
Records NSW’s digitisation project Sentenced
beyond the Seas for the first time makes
available colour digital images of the early
convict indents from 1788 to 1801 through
State Records website. Sentenced beyond the
Seas, features the series Convict Indents First
Fleet, Second Fleet and ships to 1801 (NRS
1150) and contemporary indexes known as the
Alphabetical Indents, 1788-1800 (NRS 12188).
There are over 850 digital images included in
the project. The comprehensive Early Convict
Index includes over 12,000 names which
appear in the records. There are links from
each entry to the digital images for the ship’s
indents and/or the Alphabetical Indents. The
digitisation project is State Records free gift to
the people of Australia and the world and marks
the 225th anniversary in 2013 of the arrival of the
First Fleet at Sydney Cove on 26 January 1788. The project went live on our website in
December 2012 in time for Australia Day 2013.
The project commenced in 2010 with the
in-house digitisation of the Convict Indents in
NRS 1150. The project co-ordinator (Janette
Pelosi, Senior Archivist, Context and
Documentation) undertook both archival and
historical research to provide context to the
digitised records. Cooperation from partner
institutions The National Archives (United
Kingdom), the National Library of Australia and
the State Library of New South Wales allowed
the parts of these significant records not held
by State Records NSW to be digitally reunited.
A key concern was adherence to archival
principles in the online display of the
documents. These principles are respect for
provenance (who created the records) and for
original order (how the records were kept and
used). Respect for provenance has been
achieved by providing links to series and their
creators in our Search catalogue. Respect for
original order is shown by linking to the images
as documents viewable page by page from the
List of ships web page.
A number of publications promoted the project.
Among these were: ‘Sentenced beyond the
Seas: Australia’s early convict records’ in
Descent: journal of the Society of Australian
Genealogists (December 2012, pp.155-163)
which promoted the project to family historians.
Inside History Magazine (Jan-Feb 2013, pp.56-
58) ‘Convicts in Colour’ used the story of
convict fraud to promote it. An exhibition of
selected original convict indents was held at
NSW Parliament on Australia Day 2013 which
was view by over 2,000 people.
The State archives collection is catalogued and documented
State Records NSW 57
Services and operations
Series and context documented
Approved 2012/13
Total at 30 June 2013
Series in State Records’ custody
3 14186
Series in regional/
distributed custody
32 1573
Total series approved* 35 15759
Agencies 707 4,257
Persons 1 185
Portfolios 0 284
Ministries 0 94
Organisations 0 64
Activities 0 182
Functions
* Includes split series held at Western Sydney and Mitchell Library; or Western Sydney and regional repositories. Series approvals for 2011/12 include series which were previously Concise Guide registrations and have now been fully registered, in addition to ‘new’ approvals.
Convict indenture, Neptune, 9 November 1789
State Records NSW: NRS 1150, [SZ115 p.79]
The State archives collection is catalogued and documented
58 Annual Report 2012-13
Services and operations
Regional archives being documented
Documentation of regional State archives was a
continuing priority for 2012-13. The University
of New England had a strong year registering
66 series and 66 consignments. Newcastle
Region Library re-initiated its documentation
program, registering 4 series. Charles Sturt
University and State Records collaborated in
developing generic descriptions for Lands
records which will increase the efficiency of the
documentation process. Auchmuty Library at
the University of Newcastle is continuing its
project to arrange and describe their extensive
collection of plans from Wangi Wangi Power
Station, a heritage listed site of vital importance
to the history of the region.
This regional documentation work was made
possible by a continuation of the Archives in the
Bush grant funding program for regional
repositories for another year ($39,033 was
distributed in 3 grants). These grants have
made a major contribution to the cataloguing of
regional State archives since funding
commenced in 2001. All grants this year were
directed toward collection documentation or
arrangement and description.
Funds could not be spread more widely across
the network, as the overall budget was limited,
and several repositories were still in the process
of completing projects funded in previous years.
Major boost to item documentation
At 30 June 2013, 962,398 entries relating to
record items were available through our online
catalogues Archives Investigator and Search;
an increase of 140,161 items over the year.
The majority of these items resulted from the
transfer project undertaken by the GRR on
behalf of the Supreme Court of Probate packets
(NRS 13660) and Divorce papers (NRS 13495).
Other transfers of note included Land and
Property Information records, Premier and
Cabinet papers and the staff cards from the
now defunct Electricity Commission from
Eraring Energy.
Grants to regional repositories
Repository Project Grant
University of
New England
and Regional
Archives
Documentation of
Department of
Education records
$15,534
Charles Sturt
University
Regional
Archives
Documentation of
local government
archives
$15,534
Auchmuty
Library,
University of
Newcastle
Ongoing appraisal
and description of
Wang Wangi Power
Station Plans
$7,965.93
Total $39,033.93
The State archives collection is catalogued and documented
New vehicular ferry—Wiseman’s Ferry Digital ID: 20224_a038-000230
State Records NSW 59
Services and operations
Valuation of the NSW State archives
State Records had its State archives
collection valued for the first time in 2011-12 at
$938,429,306.00. The audit opinion on State
Records’ prior years financial report was
qualified on the basis that it was not possible to
obtain all the information required to form an
opinion on the existence and values of the State
archives.
To remove the qualification, a valuation of the
State archives was undertaken in the current
fiscal year. The State archives collection is
valued at $824,165,032.00, using a fair value
as defined in the Treasury Policy TPP07-1-
Accounting Policy: Valuation of Physical Non-
Current Assets at Fair Value.
The primary focus of the Archives Control
program for 2012-13 was to provide sufficient
information for the valuer to carry out a more
through valuation and for the valuation to
withstand audit.
The major task was to create a detailed Register
of series listing very consignment of every
series in one document. The register of series
included details on physical format and
measurements of size or counts of items as
appropriate. The size of the task – over 75.6
kilometres of archives across 11 locations in
over 24,000 series – was considerable. Staff
from across all State Records programs assisted
and staff in the Regional repositories and
distributed management sites also played
significant roles. Ultimately the size of the task
and the time frame meant that the Register of
series was closed in early July with 22,171
series complete. The 22,171 series covered:
These types of archives were used in the
stratification of the collection prior to sampling
for valuation purposes. Type series were also
used in the stratification. These are series that
are produced by a number creating agencies in
the same format documenting the same sorts of
transactions. The type series are Police Record
of occurrence, Police charge books, School
records, Crown Land agent records, Judges
notebooks, Mining Warden volumes, Gaol
records, Court of Petty Sessions records –
Depositions, Court of Petty Sessions records –
volumes, Parish, county, town and village maps.
There are multiple series for each of these
types.
A Register of Iconic State archives was produced guided by a Policy on Iconic State archives. These State archives were all valued. These various Registers were then closely
tested to ensure the attributes and quantities of
each series and then physically verified and
measured against the existing control records.
Following the completion of the Audit Office’s review of the Valuation the qualification of State Records accounts has been removed however further work will need to be done. The methodology around the creation of one Master Register will be clarified, all existing data will be further tested for completeness and accuracy
The State archives collection is catalogued and documented
* Does not include record items available separately on the website. Not all items catalogued are discoverable online.
Result
12/13
Target
12/13
Record items
catalogued in
year
140,161 30,000
Catalogued items
discoverable
online
962,398 852,237
Number of record items catalogued and number of catalogued record items discoverable online
Type of archive Quantity
Volumes 183,551
Boxes 305, 739
Maps/plans 1,512,646
Images 893,167
Non paper formats 23, 507
Objects 71
60 Annual Report 2012-13
Services and operations
The State archives collection is catalogued and documented
and policy development around the Valuation will be refined in the coming year.
Colonial Secretary’s correspondence
The Colonial Secretary’s correspondence dating
from 1826 to 1856 is a part of the State
archives collection that we consider to be at
significant risk. This is because it remains
uncopied and insufficiently catalogued at a
detailed level which makes it vulnerable to
damage and loss through continued use. In
2002 we commenced a long-term project to
catalogue and copy these valuable archives,
commencing with the letters dating from 1826
to 1832.
Progress has slowed due to the Senior Archivist,
Context and Documentation’s involvement with
both the Sentenced beyond the Seas project
and the collection valuation. During the year
we:
assigned all Colonial Secretary’s
correspondence items to specific series
(such as NRS 897 and NRS 905 Main
series of letters received, and NRS 898
and NRS 906 Special bundles);
identified additional special bundles;
identified accessions with significant
Colonial Secretary’s content; and
updated the Colonial Secretary’s Main
series database with revised and
additional content.
Outlook and capability
The findings of the collection documentation review in 2009-2010 and the knowledge gained as
preparing the Register of series for the Collection Valuation will shape our priorities in coming
years; in particular the need to keep up with cataloguing and documenting new archives as they
are transferred to our custody, to make inroads into the substantial backlog of uncatalogued
archives, and to increase the number of record items discoverable through our online catalogue.
Much of the work necessary for the Collection Valuation will be able to be reused for broader
collection management purposes but it did reduce the work carried out throughout all areas of
the Archives Control program. This coupled with vacant positions and the inability to back fill
some positions while their occupants were undertaking higher duties restricted progress in all
areas.
If we are to build on the initial progress we have achieved, and particularly if we are to reduce
our long-term backlogs dedicated funding over a number of years will be needed, and the
priority and resources allocated to this task will need to be one of the key issues considered as
part of future corporate planning. Our volunteers are also important to our success in the area of
item-level documentation, and we would like to develop the capacity to support a more active
volunteer program.
State Records NSW 61
Services and operations
The State archives collection is catalogued and documented
62 Annual Report 2012-13
Services and operations
Services for the Public
Sensitive public sector information appropriately protected
Most information kept by the public sector for more than 30 years should be accessible to the public, as sensitivities in the records diminish over time. Some information in records, however, must be protected from disclosure over longer periods of time. The people of NSW expect their personal information, where it legitimately continues to be held by Government for more than 30 years, to remain protected from public disclosure. Records may also be withheld from public access for security reasons or to protect ongoing commercial confidentiality.
Goals:
Encourage public offices to make access directions (decisions
about public access) for all records over 30 years old.
Protect sensitive information through the application of
appropriate closure protocols.
Promote awareness and use of the State’s archives as
cultural, historical and evidential assets.
State Records NSW 63
Services and operations
Access directions cover all records kept more than 30 years
The State Records Act requires public offices to make access directions. Access directions either open records to public inspection after 30 years or close them for a longer specified period. There is a presumption that most records will be open to public access after 30 years. Types of records that may require a longer period closure to protect sensitive information are identified in the Attorney General’s Guidelines for Making Access Directions.
We maintain a register of access directions on our website and assist public offices to make access directions. Increase in access directions Eight public offices made comprehensive access directions during the year, bringing the percentage of public offices with coverage for all records over 30 years old to 49. This met our target of eight public offices making comprehensive access directions.
Like records retention policies we rely on public offices to make access directions providing assistance to them as required. The main trigger for making access directions remains the requirement that all State archives transferred to State Records to be covered by an access direction.
Objective for 2012-13 49% of public offices have comprehensive
access directions in place.
Achievement 49% of public offices have comprehensive
access directions in place.
Number of public offices making access directions
10/11 11/12 12/13
Partial coverage
3 1 2
Comprehensive coverage
16 9 8
Number of access directions made is not indicative of
the complexity of work or the quantity of the records
covered.
Public access to records at a glance: Official records kept 30 years or more generally become accessible to the public. Access to records over 30 years old may be restricted to protect ongoing personal
privacy, confidentiality, Indigenous cultural sensitivities, or security. Records less than 30 years old transferred into the State archives collection may
be publicly accessible.
64 Annual Report 2012-13
Services and operations
Case study Pilot migrations for the Digital Archives provided
opportunities to apply the access provisions of the State
Records Act in an electronic environment. The database
of business name registrations previously created and
maintained by the Office Fair Trading required information
publicly available before migration to continue to be
accessible while maintaining a longer finite closure period
for personal information.
Outlook and capability
We continue to face challenges in encouraging public offices to make access directions for all
their records over 30 years old. The Government Information (Public Access) Act 2009 continues
to contribute to an increase in the amount of records being made available, under that Act, in the
closed period (that is records less than 30 years old). This provides an opportunity to increase
the records made available under early access authorisations as well as the type of records made
subject to open to public access directions. In addition we will continue to investigate other ways
to increase access to State archives, including consulting stakeholders on options such as the
reduction of the 30 year open access period. We will continue to move for a reduction in the
demands placed on public offices by seeking to remove the obligation to renew closed to public
access directions every five years.
J145 –0 S.R.5 State Road 5—Great Western Highway. Blue Mountains Shire. Hazelbrook Ramp Deviation. Before construction.
Digital ID: 20224_a038_001539
Access directions cover all records kept more than 30 years
State Records NSW 65
Services and operations
Use of the State archives collection
2012-13
The purpose of preserving the State archives collection is to make the records available to enrich the lives of people and communities, in NSW and beyond. Beyond their cultural value, archives help people to establish personal or family identity and entitlements.
Visitors to our reading room and website, and those who visit the regional and rural libraries and repositories holding copied parts of the collection and regional archives, use the archives for a variety of personal and professional research projects.
These researchers are then catalysts for taking the personal, community, state and national stories held in the archives to the wider public. They do this by passing on family histories, publishing local and community histories, writing novels based on historical facts or themes, curating exhibitions, and making films and documentaries.
The Archival Research Fellowship which State Records has sponsored
was reviewed by Arts NSW. The review recommended that NSW
Archival Research Fellowship be discontinued.
66 Annual Report 2012-13
Services and operations
Archives reaching a broader audience
Many people in the community, other than those who read acknowledgements at the front of a book or credits of a documentary, never realise that what they are reading or watching draws on information and evidence contained in the State archives collection or other archival resources. Similarly document-based materials included in museum exhibitions are often from an archival collection.
Literary works
Publications that drew on the State archives
collection included:
Health, medicine, and the sea: Australian
voyages, c. 1815-1860 by Katherine
Foxhall. Manchester, UK: MUP, 2012.
A World of popular entertainments: an
edited volume of critical essays edited by
Gillian Arrighi and Victor Emeljanow.
Newcastle upon Tyne, UK: Cambridge
Scholars, 2012. (contains essay by Janette
Pelosi)
The Fig tree : journal of the Manning
Wallamba Family History Society Inc.
Taree, no. 124, October-December 2012
Newcastle's crown jewel: from convicts
and coal to the Crowne Plaza Terri
McCormack. Crows Nest, NSW: CL
Creations, 2011.
Thomas and Charlotte Robinson and their
families 1780-2010: Brandon Grove to
Bangalow and beyond by Lyndy Cracknell.
North Nowra, NSW: Lyndy Cracknell,
2012.
Descendants of David Hawkins: family
register by Ken Brice.
Archives serving a variety of purposes
TV series Tony Robinson - Time Walks
TV series Who’s Been Sleeping in My House
TV series Who do you think you are?
School text book Connect with History, 9 -,
Documentary on the Sydney Historian and
Folklorist, Warren Fahey
Irish documentary, An Dubh in Gheall (To
pull the wool over one’s eyes)
Student documentaries, Australian Film
and Radio School
Publication for the Centenary of Daceyville
Publication on Fire Brigade Officers
Interpretation panels, Garden Island
One River Art Exhibition
Tedx talk
Australian Emergency Management
Knowledge Hub website
Squizzy Taylor Exhibition at Old Melbourne
Gaol
Wall panels at a Youth Hostel Australia
building at Mt Buller, Victoria
History of Woolgoolga Glorious Days: Australia, 1913, Exhibition,
National Library of Australia State archives borrowed for major exhibitions
Cultural institutions may borrow original State
archives for temporary display purposes, as long
as they can guarantee security and provide
appropriate environmental conditions.
During 2012-2013, a total of 7 original items
were on loan:
National Museum of Australia -
“Landmarks” (1 tem); and
NSW Parliament House – “Sentenced
beyond the Seas” (6 items).
State Records NSW 67
Services and operations
Access to the State archives collection is
possible through our website and 42
physical community access points located
around NSW and third party websites.
We also provide email and telephone
enquiry services for information about the
collection and how to use it. These
services continue to be popular with
researchers with a 16% increase in
enquiries received in 2012-13.
We see online services as the primary
channel for providing access to the State
archive collection for both the public and
government. This is in line with global
trends in provision of archival services and
aligns with Government priorities for
electronic service delivery. It is a
challenge keeping up with the demand
from our public clients for web based
services. To this end State Records will
continue to work collaboratively with
third-party providers to enhance access to
our collection online.
Objectives for 2012-13 Enhance services to the public through our
website.
Achievements and highlights 81,257 name added to online indexes. 3,246,654 unique visitors to our website. 9,944 archival research and related
enquiries handled by post, email and telephone.
The State archives collection is widely accessible to
people and Government
Access to the State archives at a glance:
Our website - access to digital copies of archives, indexes, catalogues, guides, copying service.
Western Sydney Records Centre, Kingswood – access to copied and original records.
Six regional repositories (in Wagga Wagga, Newcastle, Armidale, Wollongong, and Broken Hill) - access to regional archives and microfilm copies of popular archives.
34 access points (APs) in regional and rural NSW, mostly at public libraries – access to microfilm copies of most popular archives.
Copy orders from the public
Online photocopy order service
From July 2012 we changed our reporting for
our online photocopy order service. We now
report the number of individual items copied.
Previously we reported the number of orders
received. Orders can consist of requests for
many items. Due to the change, a variation in
online photocopy numbers from last year is not
included in this report.
2011-12 2012-13
Orders placed online 3,792 5,472
Orders received by mail 517 978
Copying orders from the
public
4,309 6,450
68 Annual Report 2012-13
Services and operations
Website visitors increase
An estimated 3,246,654 visits were made to our
website during the year. This figure represents a
significant increase over the previous year.
Services available on our website include:
Archive searching (locate information about relevant archives).
Photograph searching (locate digitised photographs).
Name searching (via indexes of names found in select archives).
Quick search, combining name, archive and photograph searching.
Ordering copies of selected archives, such as railway employment records and convict and immigrant list entries.
Purchasing publications and copies of photographs in Photo Investigator.
A shopping cart system to allow the purchase of copies of records discovered in Archives Investigator.
Pre-ordering of records discovered in Archives Investigator in preparation for a visit to the Western Sydney Records Centre.
Online payment of supplementary fees for copying ordered in the reading room.
Digital exhibitions. Digital copies of select archives. Applying for a Reader’s Ticket before a
reading room visit. RSS Feeds for news, events and our
eNewsletter. Book a place at talks and events.
Reading room services
The Western Sydney Records Centre reading
room continues to be popular with researchers.
There was a 22.7% increase in original records
issued and a 3.7% increase in the number of
readers using originals in the reading room.
Reading room visitors have access to a variety of
equipment which allows them to make digital
copies of original records, and from microfilm,
microfiche and aperture cards.
During the period from Monday 3 June 2013 until
Friday 14 June 2013 (inclusive), public access to
our Western Sydney Reading Room was limited
while we completed a stock take to finalise the
Collection Valuation. Public access to our reading
room was only available Monday to Friday
(9.00am to 1.00pm) and Saturday (10am to
4pm).
Written enquiries received after 27 May 2013
were not processed until after 14 June 2013.
Copy orders lodged while visiting the reading
room during this period were mailed free of
charge if they were not fulfilled on the day.
Interests of researchers
Topics of interest
Researchers of the State archives collection were
interested, amongst many other topics, in:
Tunnels under Sydney Sterility Clinic, Crown Street Women’s
Hospital George Fitzpatrick, Australia’s `pioneer’
public relations practitioner Centenary of Daceyville Formation of the Medical Board at Port Philip
(Victoria) Centenary of Canberra Royal Visit, 1954 Anzac Buffet, The Domain, World War I History of Schools in present day ACT up to
1913 Frank Butler, murderer Sydney Opera House Building materials
Archives helping establish personal identity and entitlements, or with healing process
Archives can provide essential evidence for
establishing a person's identity or entitlements.
They can also be part of a person’s healing
process after traumatic events affected them in
their past. State Records assists people to locate
details relating to their own lives, or those of
family, subject to appropriate access procedures.
Examples include:
Using school admission registers to prove
they lived in NSW as a child (where their
birth may not have been formally
registered and they now need a passport).
Investigating the health of their ancestors
through hospital and mental health records
ascertain disease inheritance.
Identifying lost family through the records of
child removal in the Aborigines Welfare
Board records.
The State archives collection is widely accessible to people and Government
State Records NSW 69
Services and operations
Meeting service guarantees
2011-12 2012-13
Responses to written
enquiries in 20 working
days
98% 98%
Completion of copying orders in 20 working days
98% 98%
Archives Outside blog
Archives Outside is a blog established by State
Records to provide interaction, promotion,
outreach and guidance with, to and for keepers
of Archives in NSW. It has a strong focus on
regional NSW and features posts on Web 2.0,
conservation, archival collections, managing
archives/Archives and dating photographs and
collaborative posts in which experts contribute
their knowledge on a range of topics through
comments.
2012/2013 was an exciting year for the blog as
it developed a relationship with radio station
1233 ABC Newcastle and the Lost Newcastle
Facebook group who featured a number of our
Newcastle based “Moments in Time” posts in
which blog visitors help to date and locate
photos in our archival collection. It is a very
interactive series and we obtain useful
information which in turn enhances our
catalogue. In 2012/2013 we also featured a
series of “How-to” posts on digitising a
collection for a small organisation which were
very favourably received. The blog also
collaborated successfully with a number of
State Records initiatives such as the “Sentenced
beyond the Seas” exhibitions and the online
digital gallery Australia and War - World War II.
The State archives collection is widely accessible to people and Government
Digital Galleries
Westward, Ho! A trip over the Blue
Mountains
To coincide with the Bicentenary of the first
European crossing of the Blue Mountains in
2013 we developed a Digital Gallery to
showcase records in our collection relating to
the crossing and the expansion and
development that followed.
Travel and Adventure
This features a series of albums containing
brochures and advertising pamphlets issued or
distributed by the NSW Government Tourist
Bureau. The albums document the major role
played by the railways in facilitating and
promoting tourism. They contain guides to
locations in New South Wales, information on
rail tours, samples of invitations and Christmas
cards issued by the Railway Commissioner,
menus, commemorative programmes and
miniature versions of advertising posters
relating to the railways, tour schedules,
brochures, maps, tickets, timetables, day trips,
and school cruises for boys and girls.
War and Australia
War and Australia is a gallery highlighting New
South Wales' involvement in a number of
military conflicts during the nineteenth and
twentieth centuries, including Sudan, Boer War,
World War l, and World War II.
70 Annual Report 2012-13
Services and operations
Public enquiry service
Enquiry services remain popular
State Records’ public enquiry service continued
to be popular. 7,535 enquiries by email and
post were received and responded to during the
year, an overall increase of 1.4% on last year.
Telephone enquiries increased by 18%.
202,749 names added to our website
indexes
Indexes to State archives are one of the most
popular resources on our website. For many
people, names of people, places and subjects
are the key to locating records relevant to their
research. A total of 202,749 name index entries
were added to our own online indexes. New
indexes added to our website in 2012-13
included: Returned Soldiers Settlement Loan files Index to Child Care and Protection Court records - Governor's Court case
papers, 1815-1824
‘Sentenced beyond the sea’; Early Convict
records, 1788—1801
Entries were added to existing indexes covering
convict records, criminal depositions, registers
of firms, intestate estates, deceased estate
records, gaol records and soldier settlement.
There are currently 1,616,283 index entries
online.
2010-11 2012-13 2012-13
Variation (%)
from last year
From the public
Written enquires
(letter/fax)
900 678 1,112 + 64.0%
Written enquiries
(electronic)
6,530 6,857 8,724 + 27.2%
Written enquiries
total
7,430 7,535 9,836 + 30.5%
Telephone enquiries 4,062 4,793 4,472 - 6.6%
Total 11,492 12,328 14,308 + 16.0%
Electronic service delivery at a glance:
State archives collection is accessible via the State Records website, through finding aids, Archives and Photo Investigator, guides and publications.
90 indexes are available covering records relating to convicts, immigrants, the Colonial Secretary’s correspondence, courts (civil and criminal), gaol inmates, education and child welfare, soldier settlers, deceased estates, probate, shipping, railway employees and divorces.
Online enquiry and copy service available to the public and remote clients, offering research advice, guidance and an online payment facility.
The State archives collection is widely accessible to people and Government
State Records NSW 71
Services and operations
Reading room visitors
Usage of original archive items by readers at Western Sydney Reading Room
Reading room visits
There were 28,133 visits to the Western
Sydney Records Centre. The decrease in the
number of total visits to our reading room is a
result of the closure of the Sydney Records
Centre. The figure is now only for visits to our
one reading room at the Western Sydney
Records Centre.
Access to State archives in the reading room is
free in accordance with government policy.
Original (uncopied) State archives are only
accessible at the Western Sydney Records
Centre. A Reader’s Ticket is required to use
original archives. 1, 370 Readers Tickets (valid
indefinitely) were issued during the year.
Microfilm and microfiche copies of the most
heavily used archives are held in the reading
room. These are on open shelves and usage
figures are not recorded.
There has been a 22.7% increase in the use of
original items and in the number of readers
(3.7%) using original records in the Western
Sydney reading room. The increase in the use
of original items could be attributed to more
indexes to original records becoming available,
particularly for probate and divorce records.
Reading room visitors can pre-order original
records prior to visiting the Western Sydney
Records Centre. Original records, other than
probate files, are delivered within 30 minutes of
the request. Probate files are delivered within
30 minutes of set times.The reading room at
the Western Sydney Records Centre is
wheelchair accessible.
2008-09 2009-10 2010-11 2011-12 2012-13
Western
Sydney
29,804 23,821 27,200 28,133 28,092
Sydney 24,663 28,765 21,815 19,280 N/A
Total 54,467 52,586 49,015 47,413 28,092
2011-12 2012-13 %Variation
Original archives issued 22,125 28,503 22.3%
Readers using original items 5,158 5,348 3.7%
Average number of original
items per readers
4.5 5.3 17.8%
Service
Staff assistance 97%
Reading room computer resources 99%
Indexes 94%
Copy service 93%
Pre-ordering records 93%
Retrieval of original items 95%
Digital galleries 93%
Microfilm reader/printers 96%
Researcher satisfaction
The responses indicated a generally high level of
satisfaction with the website and online resources
and services. There were also high levels of
satisfaction with the publications Archives in Brief
and the e-newsletter Now&Then.
As with previous surveys researchers were less
satisfied with Archives Investigator, our online
catalogue. In response State Records will
continue to provide Archives Investigator
seminars. We have developed an online tutorial
on using Archives Investigator.
The State archives collection is widely accessible to people and Government
72 Annual Report 2012-13
Services and operations
In addition we will be promoting the API as an
alternative search option.
A total of 111 people answered the survey a
considerable decrease on responses received to
previous Satisfaction Surveys. We will
investigate why the number of respondents fell
and amend the survey as appropriate.
Charles Sturt University Regional Archives
has strong demand
Demand in 2012-13 for regional State archives
continue to be highest in Wagga Wagga at the
Charles Sturt University Regional Archives. In
the year under review there were 4,349 reader
visits and 2,223 issues of original (uncopied)
records at the centre. State archives originals
issued in the search room amounted to 460
items. State archive originals recalled amounted
to 182, and three Reader’s Tickets were issued.
The six regional repositories, operated by local
public sector institutions, store and make
accessible regional State archives to local
communities. The regional archives they hold are
mostly complemented by holdings of private
archives relevant to their region. State Records
acknowledges the valuable contribution of these
institutions to the delivery of archival services to
people in regional NSW.
Temporary recall of State archives
Public offices may recall individual State archives
required for official use. State Records may
provide temporary custody of the original record,
or supply a copy. 2,226 requests were made for
archives, with 1,923 items returned or copies
supplied to the relevant agencies entitled to
recall them.
There were a number of requests during
2012-13 from NSW government agencies for
digital copies of State archives. These were NRS
572 Interviews with Fire Brigade officers -
Conversion of 11 audio tapes into digital format
for Fire and Rescue NSW; digital copies of
records from Newcastle Dockyard accessions
A5603 and A3580 for Department of Finance and
Services and the transfer from the digibetacam
master copy into Quicktime Pro Res 422 format
of “My Handy Kitchen” (NRS 18657 Department
of Agriculture films) for Sydney Living Museums.
Kit of copied archives and guides facilitates
regional and rural access
42 Community Access Points (CAPs), based in
public libraries and regional repositories around
the State, hold microfilm copies of significant
and popular archives from our collection in the
Archives Resources Kit (ARK).
State Records continued to support the network
by:
Providing copies of guides to the collection;
and
Training in using the ARK.
State Records also makes individual items of the
ARK available through a loan service to libraries
that are not CAPs.
Community stakeholders at a glance:
family historians, community and local historians
heritage enthusiasts
professional historians and academics
high school and university students
seniors
Aboriginal people
women
artists
public officials
Legal professionals
The State archives collection is widely accessible to people and Government
State Records NSW 73
Services and operations
Total number of images added to database
during 2012-2013
2,951 digitised records were added to BOS,
State Records’ archives control system. Of these
2,643 were of photographic material and will
appear in Photo Investigator. The remaining 308
images were of non-photographic material such
as documents, maps and plans and will be
accessible through Archives Investigator.
This will bring the total number of images
available on Photo Investigator to 10,958.
2,643 photographs digitised
2,643 digitised photographs were added to BOS.
Digitised photographs are available online to the
public through Photo Investigator. These
additions were from State archives created by
the former Department of Main Roads NRS
20012 Photograph albums relating to Northern
Territory road works, NRS 20013 Photograph
albums relating to the construction of an
aerodrome on Norfolk Island, NRS 20014
Photograph album relating to the construction of
the road between Duaringa and Charters Towers,
Queensland and NRS 20224 Photographs of
metropolitan, country roads ferries etc., and
miscellaneous operations, New South Wales.
Photographs from NRS 17420 State Rail
Authority Archives Photographic Reference Print
Collection and NRS 9873 Photographs of doctors,
series already appearing in Photo Investigator,
continued to be digitised and added to Photo
Investigator.
We currently have 2,201 images on our Flickr
page and this continues to be added to on a
weekly basis. By adding digital images to Flickr
the public are able to interact with and comment
on collection items. This year also saw State
Records become a member of the Commons on
Flickr. The Commons is designed specifically as a
mechanism for public archives and institutions to
share their photographic collections.
Significant plans and documents digitised
During 2012-2013 digitisation of NRS 13886
Surveyor General sketch books continued. 308
plans from the series NRS 13886 have been
digitised and added to BOS. NRS 4333 Plans of
Public Buildings continues to be digitised with
674 images created this year.
A digital copy of an estray from NRS 2965
Copies of letters sent [Dungog Court of Petty
Sessions] 1839-1951 has been made available in
the Reading Room. The estray is part of the
National Library of Australia’s collection. The NLA
provided State Records with a digital
version.
Another significant project was the digitisation of
tourist ephemera from NRS 16410 Albums of
travel and advertising brochures resulting in a
further 1273 images being available through
Archives Investigator. Selected images from this
series were used to reconstitute the
Romance and Industry exhibition in the foyer of
the Western Sydney Records Centre. This
exhibition was first staged in 2004-05.
Selected priority records microfilmed
A significant number of records were
microfilmed and made available to the public
during 2012-13. These included NRS 19918,
Lawrence Court of Petty Sessions Bench books,
1865-1902, two estray volumes returned to
official custody by Lawrence Historical Society,
and an estray from NRS 13210 Sheriff’s Letter
Book, 1829-1830, held by the Veech Library at
the Catholic Institute of Sydney. Also
microfilmed were NRS 5283 Registers of free
railway passes for the unemployed, 1880-1892
and NRS 10897 Registers of Chemists and
Druggists of New South Wales, 1876-1895.
Various series from Agency 460, Parramatta
Training School for Girls and Agency 461,
Shaftesbury Reformatory were also microfilmed
for the years 1867 to 1942. In addition the
indexing and microfilming of photographic gaol
books continued during 2012-2013. This year 5
volumes were indexed and microfilmed these
were NRS 2496 [3/6004-6008] Photograph
description book [State Reformatory for
Women, Long Bay].
The State archives collection is widely accessible to people and Government
74 Annual Report 2012-13
Services and operations
Outlook and capability
State Records will continue to make the State archives collection accessible to the people of NSW
and around the world through our website and network of physical access points. Increasing
expectations by the public for online indexes and services will determine our priorities in this
area.
State Records will continue to work collaboratively with other government agencies, third-party
providers and stakeholders to the benefit of all users of the collection.
2013 and Travel and Adventure featuring a
series of albums containing brochures and
advertising pamphlets issued or distributed by
the NSW Government Tourist Bureau.
Increasing access to State archives
through agreements with third parties
State Records continued to explore agreements
with third parties to increase the diversity of
channels by which the people of NSW can
access the State archives collection. Third Party
Agreements have been signed with
Ancestry.com and Find My Past. Agreements
with third parties to copy and publish State
archives enhance access to State archives,
especially online publication, by providing
alternative avenues of access. State archives
subject to such agreements are already open to
public access and already available for public
inspection. All agreements have been
non-exclusive.
Increasing use of material through
Commons Copyright regime
State Records has been moving toward a less
restrictive copyright regime. One result of this
move has been the admission of State Records
to The Commons on Flickr. The Commons
provides the public with access to a world
photographic archive that allows for tagging,
commenting on and reuse of images. To be a
member of The Commons State Records has
only posted images without known copyright
restrictions to Flickr.
Further changes have been the move to an
attribution only of notice for datasets available
through the application programming interface
(API). This makes the access and use of the
datasets the same as material available on
OpenGov. State Records participated in
GovHack 31 May- 2 June 2013. The datasets in
GovHack included our online catalogue and the
index to Soldier Settlement records.
First Fleet exhibition at NSW Parliament
House
State Records Sentenced beyond the Seas
exhibition at Parliament House was held for one
day on Australia Day 2013. It joined the
Parliament House Twenty Five: Stories from
Australia's First Parliament exhibition which was
on view. The Sentenced beyond the Seas
exhibition featured Australia's earliest convict
records from the Colony of New South Wales.
The display marked the arrival of the First Fleet
at Sydney Cove 225 years ago on 26 January
1788. It took pride of place in the Premier's
corridor at Parliament House and was a
highlight of the State Records Authority's
project entitled Sentenced beyond the Seas.
The display of selected original convict indents,
dating back to December 1786, was viewed by
about 2,000 people who visited Parliament
House on Australia Day. It was the first time
the original First Fleet convict indents had been
displayed since 1988. The exhibition highlighted
records of world significance that were inscribed
on UNESCO's Memory of the World
International Register in 2007. The exhibition
attracted favourable publicity and a positive
response from the public.
Digitisation also produced a number of
photographic display panels which were
exhibited alongside the touring version of In
Living Memory at the Fountain Court Gallery
Parliament of NSW Tuesday 4 - Thursday 27
September 2012. The panels depicted the kind
of work State Records does as well as
highlighting some significant archives held by
State Records NSW.
Small exhibitions using copies of State archives
in the foyer of the Western Sydney Records
Centre continued. These exhibitions highlight
digital galleries on the website such as
Westward, Ho! A trip over the Blue Mountains
coinciding with the Bicentenary of the first
European crossing of the Blue Mountains in
The State archives collection is widely accessible to people and Government
State Records NSW 75
Services and operations
Crowd outside NSW Parliament House, First Fleet exhibition, 26 January 2013
The State archives collection is widely accessible to people and Government
76 Annual Report 2012-13
Services and operations
State Records is committed to making the
State archives collection known to a
diverse range of communities and
individuals across NSW, beyond our
existing clients.
To raise awareness of the collection and
explain how to tap into it, we organise and
participate in an extensive outreach
program comprising talks, tours,
exhibitions, an online newsletter,
educational programs, stalls, launches and
other events. Through our outreach
program we have built strong
relationships with many of our public
stakeholder groups.
Objectives for 2012-13 Meet continued public demand and
expectations for an extensive outreach program of talks, tours, group visits and exhibitions.
Achievements and highlights Organised or contributed to 81 outreach
events, attended by 2,238 people.
Communities know about and value the State archives collection
Extensive public program achieved
In 2012-13, 2,238 people attended a total of 81
events.
Onsite activities are held at the Western Sydney
Records Centre. In addition to our programmed
events, we also accept invitations to address
family and local history societies. Group
research visits to the Western Sydney Reading
Room continue to be popular, with 33 groups,
made up of 468 members, visiting the Centre in
the reporting period.
Numbers of public program participants
2012-13 2012-13
Onsite 1,521 566
Sydney 991 595
Western Sydney 225 148
Regional and rural
NSW
1,798 929
Canberra 124 0
Outside NSW 0 0
Overseas 0 0
Total 4,659 2,238
State Records NSW 77
Services and operations
Communities know about and value the State archives collection
Managing Local Collections Workshop
State Records in partnership with the Royal
Australian Historical Society developed and
presented the Managing Local Collections
Workshops in Sydney and regional NSW
between July and December 2012. The seminars
offered societies and groups basic advice on:
storage; collection polices; arrangement and
description; preventative conservation;
databases; digitisation and access polices.
Serving the Indigenous Community
State Records continued to provide services for
the Indigenous Community in line with Two
Ways Together, the NSW Government’s
Aboriginal Plan, 2003-2012.
The presentation State archives relating to
Aboriginal people was presented to 16
Bankstown Elders on 4 April 2013 followed by a
tour and inspection of records.
As part of a project run through Kempsey TAFE
to research the history of the Dhanggati people
of the Macleay Valley 12 Dunghutti Elders were
provided an introduction to State archives
relating to Aboriginal people, a tour and an
opportunity to access relevant records, including
school records and the photographs of the
Aborigines Welfare Board (AWB). The group was
accompanied by Kempsey high school students
undertaking Aboriginal Studies. The group
ordered over 100 copies of photographs from
the AWB collection.
State Records has met with the Kinchela Boys
Home Corporation, Aboriginal Affairs NSW, and
Link-up to investigate collaborative projects and
procedures. These include the use of In Living
Memory material and how to provide
information and access to records relating to
Aboriginal people in the absence of an Aboriginal
Liaison Officer.
In Living Memory NSW tour The 25-panel suitcase version of the exhibition
was displayed at the following venues:
The 100th anniversary of Cootamundra
Girls' Home Saturday 11 - Sunday 12
August 2012
‘The Stolen Generation, It’s not a Myth!
Symposium’, Campbelltown Civic Centre,
19th October 2012
Charles Sturt University from 18 to 24
March as part of a Social & Emotional
Wellbeing forum hosted by the Aboriginal
Health and Medical Research Council
The ACT Office of Aboriginal and Torres
Strait Islander Affairs from 1 May to 3
June.
The touring version was on display at the
Fountain Court Gallery Parliament of NSW
Tuesday 4 - Thursday 27 September 2012
Photographs from the Aborigines Welfare Board
collection were included in No Names, Just
Numbers: in the shadow of the Kinchela Boys
Home exhibition organised by the Kinchella
Boys Home Corporation, Dhanggati Aboriginal
Art Gallery and Kempsey Shire Library from 4
May to 2 June.
78 Annual Report 2012-13
Services and operations
Outlook and capability
State Records will continue its efforts to reach out and promote awareness and use of the State
archives collection to a diverse range of people and communities across NSW. Particular focus will
be given to reaching those communities - the culturally and linguistically diverse, Indigenous
people – who are not regular users of our services or who may not realise we hold records
relevant to their lives and interests.
Addressing the needs of culturally diverse
communities
State Records’ Ethnic affairs priority statement
2010-11 identified objectives for delivering our
services to linguistically and culturally diverse
communities.
Blaze Marking Party
Digital ID:20012_a036_06_17260000148
Communities know about and value the State archives collection
State Records NSW 79
Services and operations
Corporate information and communications
State Records recognises the value of its information, records and knowledge as corporate assets. These assets include:
Information and records about the State archives collection and non-current records in
our custody;
Staff knowledge about NSW public sector records and archives;
An extensive database and information about the administration of the NSW public
sector, and its recordkeeping practices, from 1788 to the current day; and
A library of Government legislation and publications, and works on the history of NSW,
for staff and clients to better understand the context of the State archives collection.
Website Visits Page Views
Main website 1,552,582 34,251,201
API Search 144,481 2,781,823
Archives Outside
blog 393,539 2,299,524
eLearning 11,285 142,256
Digital Gallery 109,385 790,311
Future Proof blog 189,146 1,130,265
Mariners & Ships 268,217 1,813,122
Indexes Online 333,410 5,379,841
Investigator Search 199,308 2,763,864
Open Data 22,106 96,408
Soldier Settlement 23,195 329,604
TOTAL TRAFFIC 3,246,654 51,778,219
Website Activity 2012-13
80 Annual Report 2012-13
Services and operations
Corporate information and communications
Flickr
Images uploaded 2,174
Contacts 741
Images “Favourited” 1,378
Images commented on 1,336
Images in Flickr groups 1,066
Number of tweets 3,051
Followers gained 2,993
Likes 1,073
HistoryPin
Channel Views 2,886
Fans 20
Pins 41
Tours 5
Collections 14
Google+
Circles 223
RSS Subscribers
Archives Outside 542
CAARA 38
Futureproof 383
Now & Then eNewsletter 774
Soldier Settlement N/A
State Records Events 47
State Records News 228
YouTube
Subscribers 99
Video Views 22,847
Social Media Activity 2012-13
State Records NSW 81
Services and operations
Trends
Indicator 2008/09 2009/10 2010-11 2011-12 2012-13
Metres of non-current records in storage
413,320 434,232 467,876 490,750 517,566
Metres of standard format records in archival custody
65,919 67,239 69,117 72,665 75,657
No. of catalogued record items discoverable online
269,832 306,393 455,592 822,237 962,398
No. of archives information access points
42 42 42 42 42
Metres of non-current records accessioned
33,630 36,088 51,975 45,300 47,600
No. of file retrieval operations
327,122 316,037 370,045 354,150 360,440
Total client-facing operations
- 624,452 840,233 883,019 898,200
No. of disposal policies approved
23 16 12 18 14
Metres of records transferred to archival custody
6,079 1,320 2,053 3,549 3,067
No. of record items catalogued
29,682 36,561 149,199 366,645 140,161
No. of original record items used by readers
26,831 26,620 25,425 22,125 28,060
No. of website visits
1,598,503 1,594,946 2,221,303 2,921,494 3,246,654